John is a Managing Director and Head of Compliance and Operational Risk Control for WMA and the Americas region. In this role, he is responsible for managing risk and compliance with respect to regional business practices, policy and regulatory requirements. John is a member of the Americas Executive Committee, the WMA Executive Committee as well as the Americas Risk and Control Committee.
Prior to UBS
John joined UBS in 2013 with nearly four decades of legal and compliance experience in financial services, both in the US and internationally. Prior to that, he served as Chief Risk Officer at LPL Financial. Previously, John worked at Merrill Lynch for 36 years, holding a variety of senior management positions including Global Head of Corporate Audit, Global Head of Compliance, European General Counsel, and General Counsel for Japan.
John graduated from Wesleyan University with BA and holds his JD from Rutgers University.