Kimberly Chehardy
About Kimberly Chehardy
Kimberly Chehardy is a Principal Examiner at FINRA, with a strong background in regulatory compliance and legal practice. She has held various roles in prominent law firms and financial institutions, and possesses degrees in law, human relations, and history.
Current Role at FINRA
Kimberly Chehardy serves as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2021. In this role, she is responsible for overseeing compliance and regulatory matters within the financial services sector. Her work involves evaluating broker-dealer operations and ensuring adherence to industry regulations. Based in New Orleans, Louisiana, she utilizes her extensive experience in regulatory compliance to contribute to FINRA's mission of protecting investors and maintaining market integrity.
Previous Experience in Compliance
Prior to her current position, Chehardy held various compliance roles in notable organizations. She worked as Chief Compliance Officer at Betterment from 2019 to 2020, where she managed compliance strategies in a fintech environment. Additionally, she served as Chief Compliance Officer at Cadre from 2020 to 2021. Her experience also includes a role as Vice President of Compliance at AQR Capital Management from 2017 to 2019, where she focused on regulatory compliance in investment management.
Legal Background and Education
Chehardy possesses a strong legal background, having earned her Juris Doctor (JD) from Vermont Law School from 2006 to 2009. She is admitted to practice law in New York, which highlights her legal expertise in financial regulations. Her educational journey also includes a Master of Human Relations (MHR) from the University of Oklahoma and a Bachelor of Arts (BA) in History from Loyola University New Orleans. This diverse educational background supports her multifaceted approach to compliance and regulatory issues.
Professional Experience in Law Firms
Chehardy has a solid foundation in legal practice, having worked as an Associate at several prestigious law firms. She began her legal career at WilmerHale from 2009 to 2012, followed by a position at Davis Polk & Wardwell LLP from 2014 to 2016. Additionally, she worked as an Associate at Allen & Overy for one year in 2016. These experiences provided her with significant exposure to complex legal matters and regulatory frameworks.
Military Service
Before embarking on her legal and compliance career, Chehardy served in the United States Navy as a Lieutenant (SWO) from 2000 to 2006. Her military service contributed to her leadership skills and discipline, which have been valuable in her subsequent professional roles. This background adds a unique perspective to her approach in the financial and regulatory sectors.