NEW YORK, NY / ACCESSWIRE / July 28, 2020 / Aegis Capital Corp. (www.aegiscapcorp.com) a full-service wealth management, financial services and investment banking firm is pleased to announce the hiring of two veteran compliance officers with over 40 years of combined experience in compliance
Sean Darling has over 20 years of compliance experience and will handle regulatory exam management and inquiries, compliance testing and anti-money laundering responsibilities. Prior to Aegis Sean was with FINRA for 13 years where he was a Principal Examiner responsible for conducting numerous regulatory examinations as well as being part of the high risk registered representative unit. Sean is CAMS (Certified Anti-Money Laundering Specialist) and CFE (Certified Fraud Examiner) certified.
William (Bill) Hodge has over 20 years of compliance experience and will be the AMLCO (Anti-Money Laundering Compliance Officer) for Aegis. Most recently he was the AMLCO for Dinosaur Securities and has held senior compliance roles at Convergex, Sberbank and other institutions. Bill has his Series 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, and 79.
Robert Eide Aegis’ CEO commented: “We are pleased to expand our compliance team with the addition of Bill and Sean. They both bring an expansive amount of knowledge and will be valued additions to the compliance staff. With their hiring, Aegis is committed to keeping up with today’s regulatory environment.”
Timothy Treble Aegis’ CCO commented: “Bill and Sean bring more than four decades of combined industry experience and we look forward to providing them with the necessary resources they need to ensure the firm remains compliant. I am excited to add another two high-quality members to our team and look forward to working with them as Aegis continues to grow and attract talented financial advisors.”
About Aegis Capital Corporation
Aegis Capital Corporation “Aegis” has been in business for over 35 years catering to the needs of private clients, institutions and corporations. Aegis was founded in 1984 and offers its investment representatives a conflict free service platform and is able to provide a full-range of products and services including investment banking, wealth management, insurance, retirement planning, structured products, private equity, alternatives, equity research, fixed income and special purpose vehicles. Aegis is able to provide quality service through its primary clearing relationship with RBC Correspondent Services whose parent company, Royal Bank of Canada (NYSE:RY), is one of the world’s leading diversified financial services companies. Member: FINRA / SIPC
Any questions contact:
Michael Pata, Head of Business Development
SOURCE: Aegis Capital Corp.
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