Senior Vice President, Enforcement
Christopher Kelly serves as Deputy Head of Enforcement and Senior Vice President, Main Enforcement and Sales Practice Enforcement. In that role, he oversees the work of the Main Enforcement staff who work from FINRA’s headquarters in Maryland and New York, as well as the Sales Practice Enforcement staff in FINRA’s 14 District Offices throughout the country.
He joined FINRA in 2014 and served as Chief Counsel in FINRA’s North Region until early 2018. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime. Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on numerous criminal prosecutions. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.
Mr. Kelly graduated from Duke University and Harvard Law School.