As part of OCIE’s Office of Chief Counsel, Vivi provides advice on law, policy, operations, and ethics to examination staff in Washington, DC and in the regional offices. Prior to assuming this role, Vivi conducted examinations of broker-dealers and self-regulatory organizations at the SEC. In addition to her federal government experience, Vivi was a senior associate at several major private law firms in their enforcement and litigation practices, where she represented broker-dealers, investment advisers, and executives of public companies in civil litigation and in investigations by the SEC, the U.S. Department of Justice, and other U.S. regulatory agencies regarding alleged violations of the U.S. securities laws. Vivi has counseled clients on legal and compliance issues as well as best practices in the areas of broker-dealer regulation, the Bank Secrecy Act/anti-money laundering regulations, and the Foreign Corrupt Practices Act and has authored several articles on topic such as cross-border regulation of financial markets, securities compliance and enforcement. She earned a Bachelor of Arts in Political Science and Economics from the University of Houston and graduated from American University with a J.D as well as an M.A. in International Affairs.