Forge is hiring a
Compliance Testing Associate

Summary

Join Forge as a Compliance Testing Associate and support the Senior Director of Compliance Testing in developing, executing, and improving the firm-wide Compliance Testing program. This hybrid role requires onsite presence 1-3 days a week.

Requirements

• 3+ years of audit, compliance/regulatory testing or consulting on internal controls experience (ideally for a broker-dealer, investment advisor, or trust company)
• Bachelor’s degree (required)
• Working knowledge of laws, regulations, and risk management practices for financial services
• Understanding audit methodologies and compliance testing practices in the assessment of internal controls
• Good written/verbal communication, critical thinking, and problem-solving skills
• Must be able to sit and/or stand in an office or remote setting for long periods of time while working

Responsibilities

• Perform risk-based testing activities that cover regulatory obligations for BSA/AML, FINRA, SEC, and consumer protections compliance across the Forge organization
• Follow established Policy and Procedures in the Compliance Testing life cycle of planning, execution, reporting, and issue remediation and provide escalation as needed
• Assist Senior Director of Testing in communicating with key stakeholders to obtain required support documentation and information to conduct assigned testing
• Conduct root cause analysis for issues identified during testing engagements and effectively communicate the resulting remediation plans to stakeholders and management
• Assist in the development and improvement of the compliance testing program through the updating of test steps and review procedures as needed
• Stay current on regulatory developments and industry events to identify trends and emerging risks impacting Forge and the Compliance Testing program
• Continuously add value through efficient execution and effective project management
• Develop cohesive relationships with internal stakeholders

Preferred Qualifications

• Series 7 and 24 registrations
• Experience with or previous exposure to financial services regulators