William Hodge Email & Phone Number
Chief Compliance Officer and AMLCO -Domestic Retail and Institutional Brokerage, RIA, Private Funds ERA @ Joseph Gunnar & Co., LLC
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William Hodge Location
- New York, NY, US
William Hodge Work
- 2023 -now Chief Compliance Officer and AMLCO -Domestic Retail and Institutional Brokerage, RIA, Private Funds ERA @
- 2020 -2023 Anti-Money Laundering Compliance Officer, Investment Banking Principal @
- 2019 -2020 Chief Compliance Officer and AMLCO @
- 2017 -2019 Chief Compliance Officer - FINRA and SEC and MSRB and NFA and CTFC Regulated Broker- Dealer @
- 2015 -2017 SVP - Compliance Manager and Trading and Internal Audit - Institutional Brokerage @
- 2008 -2015 Deputy CCO and AMLCO - Global Institutional Brokerage US and CIS Region @
- 2007 -2008 Chief Compliance Officer - Financial technology, execution services, for asset managers @ Electronic Securities Processing (ESP) LLC
- 2005 -2007 Chief Compliance Officer - AMLCO – Retail Brokerage, Investment Banking, and Hedge Fund @
- 2000 -2005 Assistant Vice President – Electronic Trading Services @
- 1998 -2000 Product Relationship Manager – Fund Advisory Service @
- 1994 -1998 Premier Services Associate - Shareholder Services @
- 1991 -1993 Shareholder Services Representative @
- 1989 -1991 Office Services Manager @
William Hodge Education
- LaGuardia Community College
Associate of Arts and Sciences - AAS (Chess Team)
1989-1994 - Hillcrest High School
HS (Handball, Chess Team)
1980-1984
William Hodge Skills
- Regulatory Affairs
- Global Regulatory Compliance
- Compliance Regulations
- Fixed Income
- Equities
- Investment Banking
- Risk Management
- Trading
- Trading Systems
- Financial Services
- Compliance
- Bloomberg
- Options
- FINRA
- Capital Markets
- Mutual Funds
- Financial Markets
- Derivatives
- AML
- Anti Money Laundering
- KYC
- Operational Risk
- Asset Allocation
- Equity Trading
- Internal Controls
- Legal Compliance
- Series 24
- Compliance Management
- Risk Assessment
- Counterparty Risk
- OATS
- Operational Risk Management
- Securities
- Electronic Trading
- Trade Reporting
- WEB CRD
- ACT TRACE
- OFAC
- ADP
- Siebel Administration
- Brokerage
- Oasys
- Regulatory
- ADP Payroll
- Microsoft Office
- Mergers and Acquisitions
- Services
- Series 7
- Siebel
William Hodge Summary
- William Hodge, based in New York, NY, US, is currently a Chief Compliance Officer and AMLCO -Domestic Retail and Institutional Brokerage, RIA, Private Funds ERA at Joseph Gunnar & Co., LLC. William Hodge brings experience from previous roles at Aegis Capital Corp., Spartan Capital Securities, LLC, Dinosaur Group and Convergex. William Hodge holds a 1989 - 1994 Associate of Arts and Sciences - AAS in Chess Team @ LaGuardia Community College. With a robust skill set that includes Regulatory Affairs, Global Regulatory Compliance, Compliance Regulations, Fixed Income, Equities and more. William Hodge has 1 emails and 2 mobile phone numbers on RocketReach.
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