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
- Chief Compliance Officer and AMLCO -Domestic Retail and Institutional Brokerage, RIA, Private Funds ERA @ (April 2023 - Present)
- Anti-Money Laundering Compliance Officer, Investment Banking Principal @ (July 2020 - April 2023)
- Chief Compliance Officer and AMLCO @ (December 2019 - July 2020)
- Chief Compliance Officer - FINRA and SEC and MSRB and NFA and CTFC Regulated Broker- Dealer @ (September 2017 - December 2019)
- SVP - Compliance Manager and Trading and Internal Audit - Institutional Brokerage @ (September 2015 - August 2017)
- Deputy CCO and AMLCO - Global Institutional Brokerage US and CIS Region @ (August 2008 - August 2015)
- Chief Compliance Officer - Financial technology, execution services, for asset managers @ Electronic Securities Processing (ESP) LLC (March 2007 - August 2008)
- Chief Compliance Officer - AMLCO – Retail Brokerage, Investment Banking, and Hedge Fund @ (February 2005 - February 2007)
- Assistant Vice President – Electronic Trading Services @ (January 2000 - December 2005)
- Product Relationship Manager – Fund Advisory Service @ (January 1998 - December 2000)
- Premier Services Associate - Shareholder Services @ (January 1994 - December 1998)
- Shareholder Services Representative @ (January 1991 - December 1993)
- Office Services Manager @ (January 1989 - December 1991)
- Brokerage Clerk, Office Management @ Sanford C. Bernstein (January 1983 - November 1989)
William Hodge Education
- LaGuardia Community College
Associate of Arts and Sciences - AAS (Business Management)
1989-1994 - Hillcrest High School
HS (Liberal Arts)
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 Business Management @ 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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Top Joseph Gunnar & Co., LLC Employees
Joshua Mann
Head of Capital Markets
New York, NY, US
Leo Carpio
Equity Research Analyst
New York, NY, US
Matt Solomon
Director, Institutional Sales
New York, NY, US
Beatrice Cheah
Director of Compliance
New York, NY, US
Denise Liguori
Financial Controller
Massapequa, NY, US
Anna Stone
Chief Marketing Officer
New York, NY, US
Vincent Miscioscia
Managing Director, Investment Banking
New York, NY, US
William Brown
Vice President, Investment Banking
New York, NY, US
Kristina Brodziak
Executive Assistant and Office Manager
New York, NY, US
Kavon Moshfeghi
Investment Broker
New York, NY, US
Joseph Alagna
Chairman and CEO
New York, NY, US
Connor Green
Senior Investment Advisor
New York, NY, US
Leonard Rich
Senior VP Investments
Scarsdale, NY, US
Nicholas Lobley
Vice President | Investment Banking
New York, NY, US
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