Onboarding Specialist Market Operations

The Role:  

The KYC/AML Onboarding Specialist is responsible for ensuring compliance with regulatory requirements by conducting comprehensive due diligence and onboarding processes for new and existing clients. This role involves verifying customer identities assessing potential risks and ensuring adherence to Know Your Customer (KYC) and Anti-Money Laundering (AML) policies. The ideal candidate will have a strong understanding of regulatory requirements exceptional attention to detail and a commitment to maintaining the integrity of the organization’s compliance framework.

Location: This position is remote in Denver CO. We intend to open an office in Denver and once we do we will require hybrid attendance onsite at least 9 days each month.

Responsibilities:

Customer Onboarding & Due Diligence

• Conduct thorough KYC checks during the onboarding process including verifying customer identification documents and information in line with regulatory requirements.
• Perform risk assessments to classify clients into appropriate risk categories (low medium or high).
• Identify and escalate potential red flags including Politically Exposed Persons (PEPs) or individuals on sanctions lists.
• Ensure all customer profiles are accurately maintained in the system and comply with company standards

Compliance & Risk Monitoring

• Stay up-to-date with AML/KYC regulations and industry best practices to ensure compliance.
• Assist in implementing internal policies processes and procedures to prevent financial crime.
• Conduct ongoing monitoring of client accounts to detect unusual or suspicious activity.
• Collaborate with Compliance Risk and Legal teams to manage escalations and resolve complex cases.

Documentation & Reporting

• Maintain accurate records of all onboarding activities and supporting documents.
• Prepare detailed reports for audits regulatory reviews and senior management.

Team Collaboration

• Liaise with internal stakeholders such as Sales Legal and Operations teams to ensure smooth onboarding of clients.
• Provide training and support to team members on KYC/AML policies and procedures.

Qualifications:

• Bachelor’s degree in finance law business administration or a related field.
• 2+ years of experience in a KYC/AML onboarding role preferably in banking fintech or financial services.
• Strong analytical and investigative skills with attention to detail.
• Excellent written and verbal communication skills for client interaction and reporting.
• Ability to manage multiple tasks and meet strict deadlines in a fast-paced environment.
• SIE and Series 99 required or to be obtain 90 days from date of hire

Preferred Qualifications

• Experience with ticketing solutions like Zendesk
• Certification in AML or compliance (e.g. CAMS ICA or similar) is a strong advantage.
• In-depth knowledge of KYC/AML regulations including local and international standards (e.g. FATF OFAC FinCEN).
• Familiarity with tools and platforms for identity verification PEP screening and transaction monitoring.

For residents of Denver Colorado the annual salary range for this role is $80000 - $90000+ annual bonus. Final offers may vary from the amount listed based on geography candidate experience and expertise bonus and other factors

What We Do

At Forge (NYSE: FRGE) we know our team is our greatest asset. As technology 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 build the best-in-class technology infrastructure 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 440000 registered users and private shares have traded in more than 500 companies since inception representing over $12 billion in volume across over 21000+ transactions. 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.

Why Work With Us

At Forge we offer extensive opportunities for growth to provide employees with endless possibilities developing careers through unique experiences. The diversity of skills experience and thought is what drives innovation within our walls.

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