Kelli A.
About Kelli A.
Kelli A. serves as the Associate Principal Investigator for the National Cause and Financial Crimes Detection Programs at FINRA. She has a diverse background in legal and financial sectors, including previous roles at the U.S. Department of Justice and the Special Tribunal for Lebanon.
Current Role at FINRA
Kelli A. serves as the Associate Principal Investigator for the National Cause and Financial Crimes Detection Programs at FINRA. She has held this position since 2020, contributing to initiatives aimed at detecting and preventing financial crimes. Her role involves overseeing investigations and implementing strategies to enhance compliance within the financial sector. Kelli's experience at FINRA has allowed her to leverage her legal expertise in a regulatory environment, focusing on sales practices and financial crime detection.
Previous Experience at FINRA
Prior to her current role, Kelli A. worked at FINRA as a Senior Examiner in Sales Practice from 2018 to 2020. In this capacity, she was responsible for examining broker-dealer compliance with regulatory requirements. Additionally, she briefly served as an Associate Principal Examiner in Sales Practice for one month in 2020. Her tenure at FINRA has provided her with extensive knowledge of financial regulations and compliance practices.
Experience at the U.S. Department of Justice
Kelli A. has significant experience with the U.S. Department of Justice. She worked as a Contractor via Robert Half Legal at the United States Attorney's Office in Boston for six months in 2014. Following this, she served as a Contract Attorney via CACI International from 2014 to 2018, also at the United States Attorney's Office in Boston. Her roles involved legal research, case preparation, and supporting federal prosecutions.
Educational Background
Kelli A. earned her Bachelor of Science (B.S.) in Education from Indiana University Bloomington, where she studied from 1998 to 2002. She later pursued a Doctor of Law (J.D.) at New England Law | Boston, completing her studies from 2010 to 2013. Her educational background has equipped her with a strong foundation in both legal and educational principles, which she applies in her professional roles.
Internship and Early Career Experience
Kelli A. began her career with a student internship at the Special Tribunal for Lebanon in 2013, where she worked in the Office of the Prosecutor's Legal Advisory Division for four months. She also gained experience as a Research Assistant at New England Law | Boston in 2012, contributing to projects at the Center for International Law and Policy. These early roles provided her with valuable insights into international law and legal research.