Professional Summary

Professional Overview

William Hodge is the Chief Compliance Officer and Anti-Money Laundering Compliance Officer (AMLCO) at Joseph Gunnar & Co., LLC, a leading investment banking firm. With over 30 years of experience in the financial services industry, he has built a distinguished career as a compliance leader and subject matter expert in regulatory frameworks, including FINRA, SEC, MSRB, NFA, and CFTC.

Experience Summary

Current Role

As the Chief Compliance Officer and AMLCO at Joseph Gunnar & Co., LLC, William is responsible for overseeing the firm's comprehensive compliance program, ensuring adherence to all applicable regulations and industry best practices. He works closely with senior management to develop and implement robust policies, procedures, and controls to mitigate regulatory and reputational risks. William's leadership has been instrumental in maintaining the firm's strong compliance record and fostering a culture of ethical behavior.

Career Progression

Prior to his current role, William served as the Anti-Money Laundering Compliance Officer and Investment Banking Principal at Aegis Capital Corp. He has also held the positions of Chief Compliance Officer and AMLCO at Spartan Capital Securities, LLC, and Chief Compliance Officer for FINRA/SEC/MSRB/NFA/CFTC regulated broker-dealers at Dinosaur Group and Convergex. Earlier in his career, William held various compliance, trading, and operations roles at Sberbank CIB, Electronic Securities Processing (ESP) LLC, Casimir Capital, Banc of America Investments, and Neuberger Berman.

Academic Background

William holds a Bachelor of Science degree in Business Administration from the University of Pennsylvania's Wharton School, where he graduated with distinction.

Areas of Expertise

• Comprehensive knowledge of financial regulations and compliance frameworks

• Expertise in anti-money laundering (AML) and know-your-customer (KYC) compliance

• Strong leadership and team management capabilities

• Proficient in developing and implementing effective compliance programs

• Adept at identifying and mitigating regulatory and reputational risks

• Excellent communication and collaboration skills

Professional Impact

Throughout his career, William has played a pivotal role in enhancing the compliance posture of the organizations he has served. He has led numerous successful regulatory examinations, successfully implemented complex compliance initiatives, and contributed to industry-wide discussions on emerging compliance challenges. William's dedication to upholding the highest standards of ethical conduct and regulatory compliance has earned him a respected reputation within the financial services industry.

Conclusion

With his deep expertise, strategic mindset, and proven track record of success, William Hodge is well-positioned to continue driving the compliance efforts of Joseph Gunnar & Co., LLC, ensuring the firm maintains its position as a trusted and compliant investment banking partner.