Director, BD/RIA Compliance

The Role:  

We are seeking a detail-oriented and proactive Director, BD/RIA Compliance to join Forge’s broker-dealer and RIA Compliance Department. This role is essential in ensuring the firm meets all regulatory requirements and maintains a strong culture of compliance. The ideal candidate will have a strong understanding of SEC and FINRA regulations, excellent analytical skills, and the ability to work collaboratively in a fast-paced environment. Join our team to play a pivotal role in safeguarding the firm’s compliance integrity and supporting its growth initiatives. 

Location: This role is remote out of Denver CO. You must be located in the Denver, CO area to be considered for the role. We currently have no office space in Denver CO.

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 

Qualifications: 

• 7 years of broker-dealer and/or RIA 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 
• 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 + detail oriented, accurate and organized
• Strong communication, leadership, and interpersonal skills to work effectively with internal stakeholders, collaborative team-player; 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 

For residents of the Denver, CO area the annual salary range for this role is $120,000 - $155,000 + annual bonus. Final offers may vary from the amount listed based on geography, candidate experience and expertise, bonus, and other factors