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FINRA Names Gregory Dean as Senior VP of Government Affairs

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The Financial Industry Regulatory Authority named Gregory J. Dean Jr. as its senior vice president for the Office of Government Affairs. Dean will start at FINRA on January 30.

“I am excited about this opportunity to help share with Congress and others the vital work FINRA does every day to protect investors and to ensure that they can invest with confidence in America’s financial markets,” Dean said in a statement.

Dean has a history of working in various government roles; most recently, though, he was senior director of regulatory and government affairs at the Royal Bank of Canada.

Before joining RBC in 2015, Dean served for more than 14 years in a variety of roles on Capitol Hill. During his tenure there, he was chief counsel for three separate committees in the Senate including on the Banking, Housing and Urban Affairs Committee; Health, Education, Labor and Pensions Committee; and Budget Committee.

He also was staff director for the Securities Subcommittee of the Senate Banking Committee, which is responsible for oversight of the Securities and Exchange Commission and Wall Street as well as the insurance and related industries.

In addition, he was the finance counsel for the House Committee on Small Business and the Banking Counsel for the Senate Committee on Small Business and Entrepreneurship, where he was responsible for tax and banking issues.

Prior to his congressional career, he was with FINRA’s predecessor, NASD Regulation, where he was an attorney in the Office of the General Counsel. Dean began his career at the Small Business Administration’s Office of Advocacy.

Robert W. Cook, FINRA President and CEO, said Dean will play a key role on FINRA’s senior management team.

“Greg’s expertise and wide range of experience working in both houses of Congress, the federal government and the private sector make him uniquely qualified to lead the government affairs function at FINRA,” Cook said in a statement. “And his experience working to promote small business will be exceptionally valuable in helping FINRA advance new initiatives in this area.”

Dean is a graduate of The Widener University School of Law and received his bachelor of arts from Villanova University.

— Check out FINRA’s Top 5 Exam Priorities for 2017 on ThinkAdvisor.