John Grefe
Chief Compliance Officer @Daiwa Capital Markets America Inc.
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WORK HISTORY
Chief Compliance Officer @Daiwa Capital Markets America Inc.
New York, NY, US
In May 2023, I joined Daiwa Capital Markets America (a subsidiary of Daiwa Securities Group) in an Executive Director role accountable for overseeing all compliance-related functions and ensuring the firm\'s adherence with relevant laws, regulations, and industry standards.Managing a team of 8, I ensure compliance with SEC rules, implement and manage comprehensive compliance programs, and oversee AML policies and procedures. Ultimately, I play an integral role in safeguarding the firm\'s reputation and maintaining the trust of its clients and stakeholders.
EDUCATION
Siena University
Bachelor of Science (B.S.), Finance, General
SKILLS
ABOUT JOHN GREFE
I am a results-driven Chief Compliance Officer with a powerful track record of creating and directing best-in-class compliance programs for industry-leading, global firms. I excel at reducing regulatory and reputational risk while strengthening policies, procedures, and supervisory controls. Currently, I am CCO at Daiwa Capital Markets America, and previously held key positions at Lloyds Securities, Credit Agricole CIB, Barclays Wealth America, UBS Private Bank, Bank of New York Investment Services, and Essex National Securities.As a dynamic change agent, I design solutions to overcome risk and regulatory challenges of all complexities and am skilled at partnering with cross-functional stakeholders to foster synergy and drive continuous improvement. Additionally, I am adept at building, training, and optimizing teams who serve as compliance champions while creating strong work environments that empower teams by promoting engagement, professional development, ethics, and team work.→ Areas of Expertise: Risk Assessment / Risk Management / Anti-Money Laundering (AML)/ Bank Secrecy Act (BSA)/ Quality Assurance (QA)/ Executive-Level Leadership / Monitoring & Testing / Regulatory Reporting / Regulatory Examinations & Inquiries / Employee Training & Compliance / Branch Examinations / Cross Border & 15A-6 Compliance/ Conflicts Management / Trade Surveillance / Corporate Governance / Corporate Compliance Management / Strategic Planning & Analysis / Monitoring Employee Personal Account Trading / TRACE Reporting / Trade Blotter Review / Adherence to Suitability and Documentation Requirements / Wall Crossings / Monitoring Adherence to Insider List Processes / Maintaining Watch and Restricted Lists / Regulatory Affairs Oversight (exam management, regulatory inquiries, 17H and Form BD filings)/ CRD Administration, U4/U5 Processing / Review of Marketing Materials / Pitch Books and Trade Ideas / Communications Monitoring Programs (email, voice, chat rooms)/ Guiding Advertising, Speaking Engagements, and Trade Conferences / MiFID II / EMIR / Senior Manager / Market Abuse Regimes→ Certifications & Licenses:∙ Security Licenses: Series 3, 4, 6, 7, 9, 10, 14, 24, 27, 53, 55, 63, 66∙ FINRA Dispute Resolution Arbitrator∙ FINRA Certified Anti-Money Laundering Specialist (CAMLS)∙ FINRA Certified Regulatory and Compliance Professional (CRCP)
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