Gender

Male

Location

New York, NY

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Good compliance is the functional equivalent of good business. Mr. Hodge is in charge of regulatory trade reporting, compliance procedure implementation, on-boarding of new accounts, and maintenance of the firm’s Chinese walls for 3rd party affiliate research distributed to US Institutions. Mr. Hodge also monitors counterparty risk limits and recommends adjustments to senior management. He holds, NYSE/FINRA Licenses: 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, 79, 99, & Notary Public. Prior to that Mr. Hodge was the Chief Compliance Officer for Electronic Securities Processing (ESP) LLC. ESP is an institutional broker dealer and application service provider offering trading solutions for equities options and futures to investment managers, broker/dealers, hedge funds, and other institutional investors. Prior to Joining ESP, William was Chief Compliance Officer of Casimir Capital L.P. a broker dealer in New York. There he expanded their membership agreement with NASD permitting the firm to participate in Initial Public offerings. He was in charge of general compliance, which included a retail sales group, an investment banking division, and private hedge fund. Prior to Casimir Capital, William was Assistant Vice President, Manager of Electronic Trading Services for Banc of America Investment Services, a position he held for 6 years through two corporate mergers. Prior to Banc of America, he spent 12 years at Neuberger Berman, Inc., working primarily with mutual funds. At the conclusion of his tenure at Neuberger, Mr. Hodge was a Fund Advisory Service Project Coordinator where he contributed to the development of the Fund Advisory Services "WRAP" platform. Previously, Mr. Hodge was a Premier Services Representative, contributing to the development of an asset allocation program marketed to the firm's high net worth clientele. He began his career in financial services as a brokerage clerk with Sandford Bernstein & Co., Inc. in 1983. Specialties:SYSTEMS SKILLS Proficient: Microsoft Office Suite (inc. Visio), ADP Bloomberg SSEOMS/TOMS, SIEBEL CRM, FINRA ACT, TRACE, OATS systems, Aspect Director, Towers Data, Telemagic, Surpas, Nicelog IPC systems, Lucent CentreVu Supervisor, ILX, Streetscape, Reuters, Web CRD, Accentor Seccas, Live Office Net-Exchange Pro, Oasys & Omgeo systems, Patrina and others. Solid knowledge and familiarity with network operating systems & current software and hardware trends for the financial services industry.

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