William P. Hodge
  • Male
  • New York
  • United States
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William P. Hodge is now a member of GlobalRisk community
Jan 9

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Tell us more about who you are, what you do and where you want to be. What are your main business challenges? (Tip: provide your current Job Title, Industry, company or/and paste your Linkedin profile here). Use as many relevant keywords as possible. Tell us what you can offer the community. What sorts of discussions, events, and activities you can participate in.
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
I am interested in
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