Onboarding Specialist, Market Operations
TLDR
Ensure compliance by conducting comprehensive due diligence and onboarding processes for clients while collaborating with internal stakeholders to maintain integrity in the compliance framework.
At Forge, 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, accountable, and humble. 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 artificial intelligence, 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 is building a growing network effect.
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.
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 $80,000 - $90,000+ annual bonus. Final offers may vary from the amount listed based on geography, candidate experience and expertise, bonus, and other factors
Upon offer, we conduct background checks that include employment and education verification, state, and county criminal history searches.
Forge is proud to be an equal opportunity employer committed to supporting a diverse and inclusive workplace. Our employment decisions are made without regard to race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), gender, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, veteran status, or any other characteristic protected by federal, state, or local laws.
Forge Global builds a digital marketplace that connects investors with pre-IPO companies, enabling seamless access to liquidity solutions and private share transactions. Targeting both individual and institutional investors, Forge aims to create a transparent and accessible environment for navigating the private market, setting itself apart with its innovative technology and commitment to data-driven insights.