Kavita Jain

Director, Emerging Regulatory Issues, FINRA

Kavita Jain is a Director in the Office of Emerging Regulatory Issues within FINRA’s Department of Risk and Strategy. In this role, she assists the Office in identifying and analyzing new and emerging risks and trends related to the securities industry, and developing strategic responses to potential issues. Some examples of current areas of her work include FinTech, blockchain technology, artificial intelligence, RegTech and online capital-raising platforms. During her tenure at FINRA (previously NASD), Kavita has served in key positions in the Offices of Emerging Regulatory Issues, Finance and Strategic Planning. Kavita has an M.B.A. from the University of Southern New Hampshire and a CRCP Certification from the FINRA Institute at Wharton.