- Maintain and enhance the company's BD and RIA compliance program.
- EnsurE Forge's BD and RIA comply with regulatory requirements as well as the firms' policies and procedures.
- Develop, implement, and maintain Forge's broker-dealer and RIA compliance programs.
- Manage a staff of experienced compliance personnel.
- Manage internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the BD and RIA's business activities.
- Designated point of contact with the SEC, FINRA and state regulatory bodies, managing regulatory audits, inquiries, investigations and exams.
- Provide support, advice and training to front-office and operational personnel with respect to FINRA and SEC rules and regulations..
- Maintain Form ADV Parts 1 and 2A, as well as file annual amendments and interim ADV updates.
- Develop and operationalize compliance policies and procedures
- Ability to identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to senior management.
- Work with internal stakeholders to assess compliance implications of new business products and services.
- Review, interpret, and assess regulatory impact related to proposed SEC and SRO rules and regulations.
- Develop and execute appropriate testing programs to verify compliance with relevant rules.
- Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings.
- Review and approve marketing materials and other public communications.
- 10+ years' compliance experience in a compliance department of a registered broker-dealer
- Extensive knowledge of Regulation D, the Securities Act of 1933, Investment Advisers Act of 1940, and other SEC and FINRA rules
- Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
- Detail oriented, accurate, organized, and able to set priorities
- Ability to multi-task and adapt to shifting priorities
- Series 7, 24 (required)
- Bachelor's degree (required)
- Must be able to sit and/or stand for long periods of time in an office setting while working
- Must be able to work out of our SF, CA office a few days a week
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