Director, BD/RIA Compliance

Summary

Join Forge, a technology innovator in the private market, as a detail-oriented and proactive Director, BD/RIA Compliance. This essential role ensures the firm's compliance with all regulatory requirements. You will develop and implement compliance procedures, assist with regulatory inquiries and audits, review offering documents, manage state registrations, and monitor industry trends. The ideal candidate possesses extensive broker-dealer compliance experience, strong knowledge of SEC and FINRA regulations, and excellent analytical and communication skills. This remote position is based in Los Angeles, CA, offering a competitive salary and bonus.

Requirements

• 7 years of broker-dealer compliance experience and extensive background in developing and implementing policies and procedures
• Bachelor’s degree required. In lieu of a degree, 6 or more years of relevant experience may suffice
• Extensive knowledge of securities laws and SEC/SRO rules and regulations
• Series 7 and 24 registrations
• Strong technical skills in MS Word and Excel
• Ability to work and excel in an innovative, fast-paced environment
• 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, excellent presentation skills with the ability to present in a large group setting
• Must be able to sit and/or stand for long periods of time in an office setting or in home office setting while working

Responsibilities

• Develop, implement, and maintain broker-dealer written supervisory procedures (“WSPs”)
• Assist the CCO with regulatory inquiries and examinations, as well as internal and external audits, risk assessments, and 3120 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 various firmwide books and records obligations
• 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
• Monitor and analyze developing industry and compliance trends and changes to laws and regulations, advise and implement policies and procedures that are designed to comply with regulatory and industry business practices
• Review and approve marketing materials and other public communications
• Manage the firm’s Training Plan, which includes the design and delivery of regular and routine training to front-office, back-office, infrastructure, marketing and other personnel, as appropriate
• Responsible for employee supervision modules including employee electronic communication surveillance, outside business activity reviews, and outside brokerage account activity reviews
• Drive compliance projects and initiatives by working with business, operations, product development and technology teams by drafting policies and procedures and overseeing implementation

Preferred Qualifications

Ideal candidate has a background in private placements, investment banking, alternative assets or similar fields

Benefits

For residents of the Los Angeles, CA area the annual salary range for this role is $120,000 - $155,000 + annual bonus