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Previous Experience

  • Executive Director and Legal Head, Office of Legal Obligations (Asia-Pacific Region), JPMorgan Chase
  • Special Counsel, Office of the Chief Counsel, Division of Trading and Markets, Securities and Exchange Commission
  • Special Counsel, Office of Market Supervision, Division of Trading and Markets, Securities and Exchange Commission
  • Associate, O'Melveny & Myers LLP
  • Senior Business Analyst, Internet Business Strategy Group, Scient

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Daniel Gien

Senior Principal

Dan is a member of Promontory’s securities practice group and has more than 15 years of experience achieving results on priority firmwide projects in premier organizations.

Experience

Dan has served as a senior executive manager with leadership experience in financial services regulatory compliance, technology, and operations management. Prior to joining Promontory, he was an executive director and assistant general counsel at JPMorgan Chase, where he managed the planning, execution, and successful delivery of a firmwide legal-obligations program in the Asia-Pacific region and led a Hong Kong- and Singapore-based team with direct responsibility over 14 Asian jurisdictions. Previously, Dan served as a special counsel in the Division of Trading and Markets at the Securities and Exchange Commission, where he worked on a broad range of broker-dealer issues and several landmark federal rule proposals for U.S. markets regulation. Prior to the SEC, Dan worked as an associate at O’Melveny & Myers and as a strategy consultant at two technology consulting firms in New York.

Education

  • M.B.A., Wharton School of the University of Pennsylvania
  • J.D., University of Pennsylvania Law School
  • M.M., Yale University
  • B.S., molecular biophysics and biochemistry, Yale University


Affiliations, Awards, and Civic Engagements

  • Recipient, SEC Chairman’s Award of Excellence
  • Recipient, SEC Law and Policy Award
  • Member, New York Bar
  • Member, District of Columbia Bar
  • Former board member and chair of the scholarship committee, Vietnamese American Bar Association of D.C.


Representative Engagements


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