Our Experts
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John Donohue
- senior vice president and chief compliance officer
- brokerage and clearance
- 781-999-9019
- john.donohue@sungard.com
John Donohue is chief compliance officer of SunGard’s brokerage and clearance business, responsible for regulatory relations with the Securities and Exchange Commission and the CTFC as well as self regulatory organizations including FINRA and CBOE. Mr. Donohue has more than 25 years of experience in the financial services industry. He has served as chief operations officer, chief operating officer, chief financial officer and chief compliance officer of brokerage firms. In his previous roles, Mr. Donohue was responsible for operations, regulatory finance, sales, trading, technology and compliance.
Context
Mr. Donohue is an expert in compliance, regulatory finance and operations for both retail and institutional broker-dealers. He has been a member or allied member of the New York Stock Exchange, the Boston Stock Exchange, the Philadelphia Stock Exchange, the American Stock Exchange, the Pacific Stock Exchange and the Chicago Board Options Exchange. He has started members of the NASD and NYSE including derivatives specialists and market makers. Mr. Donohue has also established FSA member firms in the United Kingdom as well as brokerage firms in Hong Kong and Tokyo under their respective regulatory regimes.
Commentary
Regulatory convergence is necessary for not only competitive parity within the global financial industry, but also for the management of risk across the enterprise. The evolution of technology has allowed for global regulatory issues to be approached proactively, rather than handled after a situation has arisen.