Gender

Male

Location

New York

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Chief Compliance Officer at Spartan Capital Securities, LLC WHodge@msn.com - Compliance, Regulatory, and Operational Risk Manager, extensive financial services subject matter expertise across multiple platforms and solutions for Global Investment Banks, Broker-Dealers, and Branch Offices. Regulator-facing roles across; Compliance, Legal, Operational Risk Management, Internal Audit, Trading and Sales, Capital Markets, Syndicate, and Technology Development Teams to support and update a broad Broker Dealer compliance program, most recently digital assets. FINRA Securities Licenses: Series; 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, 79, 99; and Notary Public. Representative Focus areas: • FINRA/SEC/NFA/MSRB/CBOE/DTCC/NSCC - Experience with regulatory inquiries, sweeps, and exams; (e.g., routine, branch, cause, TFCE, and FIN-OP), brokerage products and strategies (including alts), new product review, best ex. standards, trading technology - OMS/EMS/clearing functions • SEC Rule 15a-6, (Foreign Broker-Dealers trading and distributing research in the US), • Market Access, SEC Rule 15c3-5 (DMA/Dark Pool/HFT/ATS Transparency, etc.) pre/post trade risk controls, OMS/EMS Compliance Rules Implementations, and Management, • Cyber Security, InfoSec, Reg. SCI/BCP, AML/KYC, (Client Onboarding), OFAC, FinCEN, • Securities Lending, Prime Brokerage, Soft Dollars, Commission Recapture, Correspondent Clearing, • Derivatives, including SWAP's, Options, Futures, Forwards, and FX • Trade reporting, surveillance, system requirements, including ACT, OATS, TRACE, TRF, LOPR, EBS, etc., • Solid presentation and key messaging skills covering relevant supervisory regimes, precise attention to detail, comfortable leading process development teams involving innovative initiatives

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