Karen Braine

Deputy Director, National Cause and Financial Crimes Detection Programs, FINRA

Karen Braine is Deputy Director for Insider Trading. She manages FINRA’s 36-person equity-focused Insider Trading Surveillance Program located within the National Cause and Financial Crimes Programs, which is responsible for the surveillance of the entire U.S. marketplace for insider trading.

Previously, Karen served other roles within the Insider Trading Surveillance Program, starting as an Investigator in 2007. Karen began her career in the financial services industry with Calvert, a Bethesda, MD-based mutual fund and also worked for The Advisors Group, an affiliated broker-dealer.

Karen currently holds CFE, CAMS and CRCP designations, successfully completed the Series 6, 7, 63 and SIE exams and obtained her undergraduate degree from Western Kentucky University.

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