Kristine V.
About Kristine V.
Kristine V. serves as Principal Counsel at the Financial Industry Regulatory Authority (FINRA), where she has worked since 2017. She provides legal advice on rule interpretations and policy issues, drawing on her extensive experience in the financial sector.
Work at FINRA
Kristine V. has served as Principal Counsel at the Financial Industry Regulatory Authority (FINRA) since 2017. In this role, she advises senior management and staff on rule interpretations and policy issues. She collaborates with various departments within FINRA and works closely with staff from the Securities and Exchange Commission (SEC) to address concerns and respond to public comments. Additionally, she manages the development and approval process of rule proposals, ensuring they are reviewed by Board committees and the SEC.
Previous Experience at FINRA
Before her current role, Kristine V. worked at FINRA as a Case Administration Attorney from 2013 to 2017. During her tenure, she focused on case administration and legal compliance within the organization. Her experience at FINRA spans multiple years, contributing to her expertise in regulatory matters.
Experience at AllianceBernstein
Kristine V. previously held the position of Associate Officer in Mutual Fund Legal at AllianceBernstein from 2006 to 2013. In this capacity, she dealt with legal issues related to mutual funds, enhancing her understanding of the financial industry and regulatory landscape.
Education and Expertise
Kristine V. earned her Doctor of Law (JD) degree from St. John's University. She also holds a Bachelor of Arts (BA) in Broadcast Journalism from the University of the Philippines. Her educational background provides a strong foundation for her legal expertise and advisory roles in the financial sector.