Aegis Capital, a wealth management, financial services, and investment banking firm, announced the hiring of two veteran compliance officers with over 40 years of combined experience in compliance.
Sean Darling, who has over 20 years of compliance experience, will handle regulatory exam management and inquiries, compliance testing, and anti-money laundering responsibilities. Prior to Aegis, Darling was with the Financial Industry Regulatory Authority (FINRA) for 13 years, where he was a principal examiner responsible for conducting regulatory examinations as well as being part of the high-risk registered representative unit
William Hodge, who also has over 20 years of compliance experience, will be the anti-money laundering compliance Officer (AMLCO) for Aegis. Most recently, he was the AMLCO for Dinosaur Securities and has held senior compliance roles at Convergex, Sberbank, and other institutions.
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