- 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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Vice President, Chief Compliance Officer of Broker-Dealer and RIA - San Francisco, United States - Forge Global
Description
At Forge (NYSE: FRGE), 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, humble and accountable. 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 planet-saving, plant-based nutrition and more.
Our mission is to empower more people to exercise ownership in the world's leading private companies via a world-class technology platform with access to the largest network of buyers and sellers in the world. 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 it is building a growing network effect with defensible competitive advantages. The Forge marketplace has over 440,000 registered users and private shares have traded in more than 500 companies since inception, representing over $12 billion in volume across over 21,000+ transactions.
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. You can learn more about Forge in the following video: "The private market future starts now".
The Role:
We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the San Francisco Bay Area. This is a critical role overseeing compliance for core parts of Forge's business, reporting directly to the Head of Compliance. You'll effectively manage and mitigate risk, establish robust controls, support business initiatives and protect Forge from legal and regulatory risk.
Responsibilities:
Forge implements a mandatory COVID-19 Vaccination Policy, which applies to all employees. All employees covered by this policy are required to be fully vaccinated as a term and condition of employment at Forge. Employees are considered fully vaccinated two weeks after completing primary vaccination with a COVID-19 vaccine, with, if applicable, at least the minimum recommended interval between doses. Employees must provide truthful and accurate information about their COVID-19 vaccination status, and, if applicable, their testing results as of the first date of their employment.
Employees may request an exception from this mandatory vaccination policy if the vaccine is medically contraindicated for them or medical necessity requires a delay in vaccination. Employees also may be legally entitled to a reasonable accommodation if they cannot be vaccinated because of a disability, or if the provisions in this policy for vaccination conflict with a sincerely held religious belief, practice, or observance. All such requests will be handled in accordance with applicable laws and regulations.
Forge is proud to be an equal opportunity employer and values diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
