Director, Senior Compliance Officer
Job Description
At Forge, we know our team is our greatest asset. As innovators in the private market, our vision is to deliver a richer future for everyone. We live that vision through our values of being bold, humble and accountable. We experience the value that our vision brings to the world every day, helping the teams behind the greatest innovations of our generation, from space travel to planet-saving, plant-based nutrition and more.
With liquidity solutions, exclusive data and insights, a custody offering, and a vibrant marketplace, Forge’s goal is to power a global private market that is transparent, accessible and seamless for companies, their employees and investors. Through Forge, employees can sell their private shares, employers can reward shareholders with pre-IPO liquidity and individual and institutional investors can participate in private unicorn growth.
Forge's differentiated global marketplace addresses rising demand among individual and institutional investors for exposure to private company stocks and it is building a growing network effect with defensible competitive advantages. The Forge marketplace has over 440,000 registered users and private shares have traded in more than 500 companies since inception, representing over $12 billion in volume across 21,000 transactions.Â
Needless to say, our ability to offer these powerful financial solutions has generated incredible interest from investors, demand from customers, and a need to grow our team to meet the needs of more companies, teams and innovators in this way.
- Report directly to the Chief Compliance Officer of BD and RIA
- Develop, implement, and maintain broker-dealer written supervisory procedures (“WSPs”)
- Manage the firm’s Firm Element Plan, which includes the design and delivery of regular and routine training to front-office, back-office, infrastructure, marketing and other personnel, as appropriate
- Assist the CCO with regulatory inquiries and examinations, as well as internal and external audits, risk assessments, and similar reviews
- Reviewing and approving offering documents relating to private placements of affiliated and unaffiliated pooled investment vehicles and other private issuers and completing associated FINRA filings
- Manage BD state registrations across all U.S. states and territories
- Assist with the drafting, amending and submission of Form ATS filing relating to the firm’s trading platform that facilitates secondary trading and structured liquidity programs in unregistered private company securities
- Responsible for the broker-dealer’s Business Continuity Plan, including drafting BCP policy updates
- Provide subject matter expertise and real-time advice for various compliance topics to internal stakeholders, including front-office, senior management, and other functional teams
- Review and approve marketing materials and other public communications
- 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
- Drive compliance projects by working with business, operations, product development and technology teams by drafting policies and procedures and overseeing implementation
- Play a critical role in developing and overseeing the daily management of the broker dealer compliance program
- Assist with various firmwide books and records obligations
- Assist CCO with the 3120 annual reviews
- Perform other duties as may be assigned
- 7+ years of broker-dealer compliance experience and extensive background in developing and implementing policies and procedures
- Ideal candidate has a background in private placements, investment banking, alternative assets or similar fields
- Extensive knowledge of securities laws and SEC/SRO rules and regulations
- Series 7 and 24 registrationsÂ
- Bachelor’s degreeÂ
- Ability to work and excel in an innovative, fast-paced environment
- Excellent presentation skills with the ability to present in a large group setting
- Strong communication, leadership, and interpersonal skills to work effectively with internal stakeholders
- Collaborative team-player, with the ability to develop relationships with key stakeholders across the Forge organization
- Detail oriented, accurate, organized, and able to work in an environment with multiple priorities
- Strong technical skills in MS Word and Excel
- Must be able to sit and/or stand for long periods of time in an office setting or in home office setting while working
Forge is proud to be an equal opportunity employer and values diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Date Posted
09/28/2022
Views
5
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