John Grefe

John Grefe is a seasoned compliance professional with extensive experience in the financial services sector. Currently serving as the Chief Compliance Officer at Daiwa Capital Markets America Inc. since May 2023, Grefe oversees compliance-related functions and manages a team of 12 to ensure adherence to SEC rules and comprehensive compliance programs. Prior to this role, Grefe built a robust Compliance Program for Lloyds Securities Inc. as Chief Compliance Officer from 2013 to 2023. Grefe held various positions in prominent institutions, including Director of Fixed Income Compliance at Crédit Agricole CIB and VP of Capital Markets Compliance at Barclays Wealth Management, where responsibilities included regulatory guidance and management of compliance programs. Grefe began the career as a Compliance Specialist at Essex National Securities, Inc. after earning a Bachelor of Science in Finance from Siena College.