FacultyFaculty/Author Profile

John Polanin, Jr.

Macquarie Group
Head of Compliance Americas
New York, NY, USA

John Polanin, Jr. is Executive Director and Head of Compliance for the Americas at Macquarie Group based in New York City. Before joining Macquarie, John was Global Head of Legal & Compliance Policy for UBS AG. Previously, John worked as Head of Compliance for UBS Wealth Management Americas, Head of Compliance for the Americas at UBS Investment Bank, Managing Attorney for equities at UBS Warburg, and Deputy General Counsel for equity capital markets, transaction services and research at PaineWebber Incorporated. John was in private law practice and served as a Branch Chief in the SEC Division of Trading & Markets, before holding positions as Assistant General Counsel for equities, research and information barriers at Credit Suisse First Boston and Chief Compliance Officer at SG Cowen Securities Corporation prior to joining PaineWebber in 1999.

John graduated from Harvard University in 1980 and Catholic University School of Law in 1983 and received a Master of Laws degree in Securities Regulation from Georgetown University Law Center in 1990. John is admitted to the bar in Maryland (1983) and D.C. (1984). John is also the author of "The Finder's Exception from Federal Broker-Dealer Regulation," published in Volume 40 of the Catholic University Law Review in 1991.

John is an active member and co-chair of the Compliance and Regulatory Policy Committee of the Securities Industry and Financial Markets Association. John is a former member of the NYSE Compliance Advisory Group and the Executive Committee of the Law and Compliance Division of the Futures Industry Association.


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