Director of Compliance, Forge Trust

We are searching for an experienced trust company compliance leader. The role will report to Forge’s Head of Compliance and will be responsible for ensuring our trust company’s compliance with applicable rules and regulations, including educating our employees on matters relating to compliance. Must collaborate with other departments to identify problems and to develop and implement new policies, procedures, administrative controls and systems enhancements.

• Manage and enhance the trust company’s compliance program
• Develop, implement, and maintain trust company policies and procedures
• Lead the completion of regulatory inquiries and examinations, as well as internal and external audits, risk assessments, and similar reviews
• Develop and deliver compliance training to trust company staff
• Conduct due diligence on partners and service providers, assist with their onboarding partners and conduct effective oversight
• Review and approve trust company marketing and sales collateral
• Interact with the trust company’s primary regulator, the South Dakota Division of Banking
• Provide subject matter expertise and real-time advice for various compliance topics to internal stakeholders, including front-office, senior management, and other functional teams
• Ability to effectively present information to management and/or Board of Directors
• Monitor and analyze developing industry and compliance trends and changes to laws and regulations, advise internal stakeholders, and implement policies and procedures that are designed to comply with regulatory and industry business practices
• Support key business and compliance initiatives by working closely with business line leaders and other support functions throughout the organization
• Experience managing compliance staff
• Drive compliance projects by working cross-functionally with business, operations, product development and technology teams
• Monitor for applicable regulatory updates and impactful industry developments, and advise the organization accordingly
• Drive and execute other special projects in support of key company objectives

• Bachelor's Degree required; Juris Doctorate preferred but not required
• 7+ years relevant experience in a trust company compliance role, 3+ years of managerial experience
• Strong background in developing and implementing policies and procedures
• Strong interpersonal, decision-making, and analytical with the ability to effectively present in a large group setting
• Knowledge and understanding of trust company compliance rules and IRS regulations for retirement accounts
• Certified Trust Financial Advisor designation preferred, but not required
• Collaborative team-player with strong communication, leadership, interpersonal and verbal and written communication skills with the ability to work effectively with stakeholders at all levels of the organization
• Detail oriented, accurate, highly organized, and able to work in an environment with multiple priorities
• Ability to work and excel in an innovative, fast-paced environment with multiple priorities
• Experience with Microsoft Office suite
• Must be able to sit and/or stand for long periods of time in an office setting or in home office setting while working