Dawn Calonge
Dawn Calonge is a Senior Director in Risk Monitoring within the Retail Firm Group for FINRA’s Member Supervision Department. Dawn is responsible for overseeing four Risk Monitoring teams responsible for monitoring and assessing risk across the Retail Independent Contractor firms. Prior to this role, Dawn has served in various roles in Risk Monitoring, including most recently, as a Risk Monitoring Director in Capital Markets Group and as a Surveillance Director in the Florida District Office where she managed teams of Risk Monitoring Analysts in their ongoing risk monitoring of member firms. Dawn also served as a Director in Member Supervision’s Program Risk Office whereby she developed and implemented the Quality Assurance Program for Risk Monitoring. Prior to Dawn’s work in Risk Monitoring, she served as an Examination Manager responsible for managing examination staff that conducted cycle and cause examinations. Dawn joined FINRA as a Staff Examiner, investigating a wide range of member firm activities. Prior to joining FINRA, Dawn worked at the U.S. Securities and Exchange Commission and the New York Stock Exchange. Prior to her regulatory work, Dawn worked in the accounting field and received her Bachelor of Business Administration degree with a major in Accounting from the University of Miami in Coral Gables, Florida.
