Matthew Vitek
Financial Services Legal Leader | FinTech Regulatory Solutions | Securities Law, Compliance Strategy, Capital Markets | FINRA AGC
- Role
- Associate General Counsel at FINRA
- Location
- Chattanooga, TN, US
- LinkedIn followers
- 500 followers
About Matthew Vitek
Led development of FINRA\'s first AI-powered regulatory research tool (FIRST™), transforming how 3,400+ member firms access critical compliance information• Advise FINRA Board on politically sensitive, high-impact rule changes affecting capital formation and corporate finance• Won 2024 FINRA Createathon for pioneering human-in-the-loop AI system applying structured taxonomy to regulatory content• Represent FINRA before industry groups, stock exchanges, and at national regulatory conferences• Previously shaped regulatory policy at Principal Financial Group ($714B AUM) and directed FINRA\'s global engagement with IOSCO and GFIN : Securities regulation (Securities Act, Exchange Act, Advisers Act, Investment Company Act)| Reg BI & suitability standards | Capital markets & corporate finance | AI & digital asset regulation | AML/KYC compliance | Options, derivatives & alternative investments | Regulatory policy development\'.
Experience
Associate General Counsel
Nov 2022 — Present · Washington, DC, US
Advise FINRA Board and executive leadership on crucial regulatory initiatives affecting 3,400+ broker-dealer member firms managing trillions in investor assets. Serve as a legal expert on capital formation, corporate finance, and regulatory innovation. & :• : Co-created FINRA Rulebook Search Tool™—the first comprehensive taxonomy-based research platform issued by a financial regulator—improving accessibility to critical rules and regulatory guidance for industry professionals• : Member of winning team at 2024 FINRA Createathon for developing human-in-the-loop AI system that combines machine learning with expert human review to structure FINRA\'s regulatory content• : Prepare sophisticated policy analyses for FINRA Board on legally and politically complex rule changes, balancing investor protection with capital market efficiency• : Serve as FINRA spokesperson at national regulatory conferences, SRO and exchange committees, and industry forums; recognized as sought-after expert on capital formation and regulatory policy• : Draft rule filings, rule guidance, and interpretive letters that provide clarity to member firms and outside counsel on compliance obligations• : Maintain strategic relationships with SEC, exchanges and other self-regulatory organizations to coordinate policy initiatives and regulatory frameworks• : Lead legal analysis on corporate finance, options regulation, outside business activities and regulatory agreements with exchanges: Agentic AI, regulatory intelligence platforms, structured taxonomy systems
Education
The University of New Mexico
Bachelor of Arts - BA, Communication
1997 — 2000
Baylor University - Hankamer School of Business
Master of Business Administration - MBA
2000 — 2002
Georgetown Law
Master of Laws - LLM, Securities and Financial Regulation
2006 — 2009
Drake University Law School
Doctor of Law - JD
2003 — 2005
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