Kristen Caban

Kristen Caban is a Risk Monitoring Director for FINRA member firms assigned to the Diversified and Clearing and Carrying firm grouping. In this role, she is responsible for a team of Risk Monitoring Analysts who focus on assessing current and emerging risks of approximately 50 member firms. Prior to joining Risk Monitoring in 2014, Kristen was an Examiner focusing on financial and operational risks of FINRA’s member firms. Throughout her career, Kristen has served on several internal and external facing initiatives most recently leading the implementation of the Amended Part II FOCUS Report. Ms. Caban received a B.S. in Accounting from Siena College and a minor in Information Systems.