Chicago-based futures brokerage and clearing firm R.J. O’Brien & Associates (RJO) today announced the appointment of John Robbins, CFA, to the new role of Global Chief Compliance Officer (CCO).
Based in New York, Robbins reports to Melissa Zierk, RJO Managing Director, General Counsel. Those reporting to Robbins include Christopher Bove, CCO of RJO, the U.S. futures commission merchant; Tracy Hetherington, CCO, EMEA; and Aaron Nessel, CCO for the firm’s broker-dealer affiliate.
Robbins commented:
“RJO is a well-established organization with strength of character and exceptional leadership driving a culture of singular focus on serving its clients. I’m thrilled to be part of a company fully committed to delivering exceptional financial products globally. It’s a great opportunity where I can leverage the regulatory knowledge, compliance technology and process optimization tools developed over my career to help build a proactive, operationally resilient compliance program supporting the firm’s dynamic growth.”
Robbins’ experience includes CCO and leadership compliance roles with Intercontinental Exchange (ICE), Babson Capital (Barings), AIG, Apex, Deutsch Bank and GE across a range of businesses, including registered investment advisers, broker-dealers, global asset managers and clearing firms.
Most recently, he served as Chief Compliance Officer for Apex Fintech Solutions and Apex Clearing, managing the compliance program covering the firm’s trading, clearing and custody activities.
Prior to his role with Apex, he was Senior Director and CCO at ICE Data Services, integrating advanced surveillance and monitoring solutions with enterprise compliance to support scalable and diverse global product offerings.
Robbins holds the Chartered Financial Analyst designation and earned a Bachelor of Arts degree from Occidental College in Los Angeles. He is a member of the CFA Society of New York, CFA Institute and the Risk Management Association, and he holds several securities licenses from the Financial Industry Regulatory Authority (FINRA).
