Title: Independent Consultant
Company: Bates Group LLC
Location: Silver Spring, Maryland, United States
John Polanin, independent consultant at Bates Group LLC, has been recognized by Marquis Who’s Who Top Lawyers for dedication, achievements and leadership in law and compliance.
With an illustrious career spanning nearly 40 years in the legal and compliance sectors, Mr. Polanin has excelled as an independent consultant with Bates Group LLC since 2025. In this significant position, he leverages his extensive expertise in security compliance, international regulation and risk management to provide invaluable insights to clients. Additionally, Mr. Polanin imparts his knowledge to the next generation of legal professionals as a lecturer at the Columbus School of Law at The Catholic University of America, where he additionally assists in updating electives and finding mentors for law students.
Prior to his present posts, Mr. Polanin was active as the head of compliance for Macquarie Bank Europe in Dublin, Ireland between 2019 and 2023. His tenure with Macquarie Group, now known as Nomura Holdings Inc., began in 2011 when he was appointed as a senior managing director and the regional head of compliance for the Americas in New York. In 2015, he advanced to the role of global head of compliance based in Sydney, Australia. This position was a pinnacle achievement for Mr. Polanin, who was unexpectedly invited to take on this role by the outgoing head of the Australian division. His leadership during this period was instrumental in shaping the company’s global compliance strategies between 2015 and 2019.
Mr. Polanin began his career with the U.S. Securities and Exchange Commission, where he worked as the branch chief from 1987 to 1992. He subsequently found success with UBS, serving as a managing attorney for equities from 2002 to 2002 before accepting a role as the head of compliance for the Americas from 2002 to 2005. Toward the end of his tenure at UBS, Mr. Polanin was active as the managing director for wealth management in the Americas and the chief compliance officer from 2005 to 2009 and the global head of legal and compliance policy from 2009 to 2011.
Mr. Polanin’s academic credentials are equally impressive and laid a strong foundation for his successful career.. He initially pursued an education at Harvard University, earning a Bachelor of Arts in government in 1980. He continued his studies with a Doctor of Jurisprudence from the Columbus School of Law at The Catholic University of America in 1983. In 1990, he concluded his formal academic efforts, graduating with a Master of Laws in securities regulation from Georgetown University Law Center.
In addition to his primary positions, Mr. Polanin has been actively involved with industry-related organizations such as the National Adjudicatory Council of FINRA and the Securities Industry and Financial Markets Association’s Compliance and Regulatory Policy Committee. His contributions have been recognized with awards including the American Jurisprudence Award from Legal Ethics at Columbus School of Law and an award from Macquarie Group.
Outside of his professional endeavors, Mr. Polanin has been dedicated to giving back to his community through volunteer work with The Ignatian Volunteer Corps since 2024. He also enjoys singing and playing golf and pickleball. Married to his loving wife, Bridget, since 1985, Mr. Polanin is the proud father of four wonderful children, John, Mary Kate, Margaret and Michael, and grandfather of his amazing grandson, Mac, into their family.
In the coming years, Mr. Polanin aims to continue contributing to his profession through teaching and consulting while engaging in critical volunteer work within his community. His commitment to sharing his knowledge with future generations underscores his dedication to the field of law and compliance. Furthermore, Mr. Polanin anticipates the birth of his second grandchild in the near future.
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