Close Close

Regulation and Compliance > Federal Regulation

FINRA Names Scott Anderson Head of Market Regulation

Your article was successfully shared with the contacts you provided.
FINRA sign outside its office in New York. (Photo: Shutterstock)

The Financial Industry Regulatory Authority said Tuesday that it has appointed Scott Anderson as executive vice president and head of Market Regulation and Transparency Services, replacing Tom Gira, who passed away earlier this year.

Anderson, who starts at FINRA on Jan. 25, 2021, began his career at NASD, FINRA’s predecessor organization. He has 25 years of experience working on complex legal and compliance matters relating to the regulation of securities markets.

He will join FINRA on Jan. 25 from Societe Generale, where he served as managing director, chief compliance officer, Americas.

In that role, he managed more than 200 compliance professionals in the United States, Canada and Brazil while providing strategic guidance to U.S. and global management and governing boards on compliance, regulatory and legal issues, according to FINRA.

He will report to president and CEO Robert Cook and serve on FINRA’s Management Committee.

“Scott brings to this critical role broad leadership experience and a deep understanding of today’s complex securities markets, and we are excited to welcome him back to FINRA,” Cook said in a statement. “The Market Regulation and Transparency Services Department is vital to FINRA’s mission of protecting investors and ensuring the integrity of the securities markets, so that everyone can participate in them with confidence. I look forward to working closely with Scott as he begins working with this important team.”

Related: Deciphering ‘Best Interest’ in Reg BI

Anderson added in the statement that “FINRA’s mission has resonated with me since the very start of my career, and I am excited to lead such an outstanding team of professionals so deeply committed to protecting investors and market integrity.”

Previously, Anderson held senior compliance and legal roles at UBS AG, Fidelity Investments and JP Morgan Chase. He also worked at The Nasdaq Stock Market as an attorney in the Market Structure and Regulatory Policy Group of the Office of the General Counsel. He started his career at NASD Regulation as an Investigator in the Enforcement Department.

He holds a Juris Doctorate from the University of Tennessee, a Master of Laws in Securities and Financial Regulation from Georgetown University, and a Bachelor of Arts in Political Science from the University of Richmond.

— Related on ThinkAdvisor:


© 2023 ALM Global, LLC, All Rights Reserved. Request academic re-use from All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.