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John Hoff

Markets, Risk and Compliance

John Hoff has worked for over 30 years in the financial markets and specializes in preemptive compliance for global markets activities in the industry. John’s focus is on leading firms through a seamless and compliant path from regulation through to policies, procedures, controls and training. He has expertise in resolving regulatory findings and internal compliance issues, and assists firms in avoiding regulatory findings and sanctions by creating simplified, effective compliance structures and culture.

John has broad experience in all aspects of markets-related functions, with over 30 years on trading floors working in sales, trading, business management, regulatory development and management, and most recently compliance. He has specific experience in the impact of regulatory change and exchange rules, with a broad knowledge of regulations, rules, and regulatory structure impacting the financial markets. His broad background in both market and regulatory structure allows him to anticipate how policies and procedures may need to be updated due to market changes as well as regulatory change.

John’s compliance experience covers all US regulators, SROs, and exchanges with regard to securities, futures, and swap businesses. He has been responsible for tracking relevant industry disciplinary actions. He has knowledge of the impact of UK and European rules.

Projects have included rule mapping of US exchanges and regulations against the policy framework of a US broker dealer; organizational mapping and tasking of regulatory change across all US fixed income, currency, and swap regulators and exchanges; complete re-write of broker dealer equity options policies, procedures and controls; foreign affiliate policies in line with SEC 15a-6; and development of policies procedures and controls for automated trading (SEC 15c3-5).

John has developed policies and procedures for market abuse, best execution, communications, and distribution of research and strategy. He has also managed a multinational team working to deliver the regulatory, technical, and market control requirements to bring a dealer into compliance with US Prudential Swap Margin Rules.

John holds a BA in Economics from Hobart and William Smith Colleges and a MBA in Finance and Accounting from Columbia Business School.