Kris Dailey

Vice President, Risk Oversight & Operational Regulation, FINRA

Kris Dailey is Vice President in FINRA’s Risk Oversight and Operational Regulation department, where she is responsible for leading a group of professionals in developing and interpreting financial, operational and margin rules and providing policy advice to FINRA staff and member firms.  Ms. Dailey’s current responsibilities involve a variety of regulatory areas, including broker-dealer net capital, liquidity management, accounting and financial reporting obligations, financial statement audits, books and records requirements, segregation and custody of customer assets, margin requirements, including portfolio margining, and securities operations, including prime brokerage, clearance, settlement and financing arrangements.  Ms. Dailey’s responsibilities have also included overseeing the collection and analysis of standardized data for financial and operational examinations, the supervision of assessments of quantitative market and credit risk measurement methodologies and the review of new and continuing member applications.  Before joining FINRA, Ms. Dailey was at NYSE Regulation where she spent 19 years in various staff and managerial positions responsible for the examinations and financial surveillance of member firms.  Ms. Dailey received a B.S. in Finance from St. John’s University and a M.B.A. from Fordham University.