Shelly Davis
Shelly Davis is Senior Director, Risk Monitoring in FINRA’s Member Supervision department. Risk Monitoring is a key regulatory function that is unique among regulators, providing a dedicated team focused on each member firm. Ms. Davis leads the teams focused on Retail Small, Mid-Size, and Large firms that offer a range of products to individual investors. In this capacity, she is responsible for oversight and strategy to identify and address current and emerging risks at member firms.
Ms. Davis has worked in the industry for more than 25 years, including various roles at FINRA and the Nasdaq Stock Market.
Ms. Davis has a bachelor’s degree from Wellesley College and is a registered Certified Fraud Examiner with the Association of Certified Fraud Examiners.