Gregory Pleeter, Cfe
About Gregory Pleeter, Cfe
Gregory Pleeter is an Application Manager at the Financial Industry Regulatory Authority (FINRA), where he has worked since 2006. He leads application review programs for the West Region and manages a team focused on complex applications, while also enhancing staff expertise through training and collaboration with various departments.
Work at FINRA
Gregory Pleeter has served as an Application Manager at the Financial Industry Regulatory Authority (FINRA) since 2006. In this role, he collaborates with various departments to improve the understanding of the regulatory landscape related to application reviews. He leads application review programs for the West Region, ensuring compliance with federal securities laws and FINRA rules. Pleeter manages a team of six examiners who focus on complex applications, including those related to digital assets and mobile applications. He also administers monthly district meetings to discuss open applications and regulatory obligations.
Technology Initiatives and Training Development
Pleeter has led a technology initiative aimed at revising the Request Letter format, which has improved the efficiency of application processes. He developed a department-wide monthly training schedule to enhance staff expertise and performance. This initiative supports the continuous development of application review staff, ensuring they are well-equipped to handle the complexities of their roles.
Special Projects and Regulatory Compliance
In his role at FINRA, Pleeter executed a special project involving an inquiry and response for The Securities and Exchange Commission’s Office of Compliance Inspections and Examination. This project highlights his involvement in significant regulatory compliance efforts and showcases his ability to manage inquiries from regulatory bodies effectively.
Background in Professional Sports
Before his career at FINRA, Pleeter was a professional baseball player with the St. Louis Cardinals from 2004 to 2005. This experience in professional sports contributes to his diverse background and skill set, which he applies in his current role within the financial regulatory sector.
Education and Qualifications
Gregory Pleeter earned a Bachelor's degree in Accounting from Fairleigh Dickinson University-Metropolitan Campus, where he studied from 2000 to 2004. His educational background in accounting provides a strong foundation for his work in regulatory compliance and application management at FINRA.