Greg Ruppert

Information

Greg Ruppert is FINRA's Chief Regulatory Operations Officer. In this role, Mr. Ruppert leads FINRA’s Regulatory Operations (RegOps) organization, a newly unified team consisting of Member Supervision, a cohesive group of programs that protect investors and safeguard market integrity through surveillance and oversight of Member Firms and Registered Representatives; Market Oversight, which oversees and regulates trading of exchange-listed, unlisted and fixed income securities for compliance with FINRA rules and the federal securities laws; and Enforcement teams. At the helm of this cross-functional team, Greg leads FINRA’s efforts to strengthen regulatory coordination, expand intelligence sharing, and enhance its processes and technology – protecting investors and upholding market integrity. Previously, Mr. Ruppert was Executive Vice President of Member Supervision, where he set the strategic direction of FINRA’s Membership Application Program, Risk Monitoring Program, Firm Examination Program, and Investigative Programs. Mr. Ruppert joined FINRA in 2020 as the Executive Vice President of its National Cause and Financial Crimes Detection Program (NCFC) within Member Supervision. In his prior role, he oversaw FINRA’s National Cause Program, Financial Crimes Surveillance, and Specialized Investigative Units covering vulnerable adults and seniors, anti-money laundering and fraud, high-risk representatives, and cybersecurity. He was also responsible for the creation of FINRA’s Financial Intelligence Unit. Prior to joining FINRA, Mr. Ruppert was a Senior Vice President in Charles Schwab Corporation’s Risk Management department from 2014 to 2020. In that role, he led teams responsible for several key operational and compliance risk areas across the enterprise. He also served as the Board-appointed Bank Secrecy Act (BSA) Officer and the Corporate Responsibility Officer for the corporation. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the U.S. Government, achieving the rank of Senior Executive Service. Mr. Ruppert’s career as a Special Agent in the FBI included investigator and leadership roles specializing in complex corporate and securities cases, financial crimes, terrorism, and cyber. Mr. Ruppert is on the Board of Directors of the non-profit organization CalTrout, and previously served as President of the Board of the non-profit organization GirlVentures. Mr. Ruppert has a J.D. from the University of the Pacific’s McGeorge School of Law and a B.A. from the University of the Pacific. He returned to his alma mater [from 2016 to 2023] to serve as a Professor of Practice in the School of Engineering and Computer Sciences.