Kris Dailey

Kris Dailey is Vice President in FINRA’s Office of Financial and Operational Risk Policy and leads the team responsible for developing and interpreting rules and providing policy guidance to FINRA staff and member firms. Ms. Dailey’s work focuses on broker-dealer financial and operational requirements, including net capital and customer protection obligations, liquidity risk management, accounting, recordkeeping, financial reporting, margin requirements, and securities clearance and settlement operations. At FINRA, Ms. Dailey has also held numerous other roles, overseeing margin regulation and policy, the development of an automated data collection and analysis program supporting FINRA’s financial and operational examinations and conducted assessments of firms’ quantitative market and credit risk models and membership applications. Prior to joining FINRA, Ms. Dailey spent more than 15 years at NYSE Regulation in staff and managerial positions, where she was responsible for examinations and ongoing monitoring of member firms’ financial and operational compliance. Ms. Dailey holds a B.S. in Finance from St. John’s University and an M.B.A. from Fordham University.