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Director, Senior Compliance Officer

Company: Forge Global
Location: New York
Posted on: September 25, 2022

Job Description:


  • Report directly to the Chief Compliance Officer of BD and RIA
  • Develop, implement, and maintain broker-dealer written supervisory procedures ("WSPs")
  • Manage the firm's Firm Element Plan, which includes the design and delivery of regular and routine training to front-office, back-office, infrastructure, marketing and other personnel, as appropriate
  • Assist the CCO with regulatory inquiries and examinations, as well as internal and external audits, risk assessments, and similar 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 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
  • Responsible for the broker-dealer's Business Continuity Plan, including drafting BCP policy updates
  • Provide subject matter expertise and real-time advice for various compliance topics to internal stakeholders, including front-office, senior management, and other functional teams
  • Review and approve marketing materials and other public communications
  • Monitor and analyze developing industry and compliance trends and changes to laws and regulations, advise internal stakeholders, and implement policies and procedures that are designed to comply with regulatory and industry business practices
  • Support key business and compliance initiatives by working closely with business line leaders and other support functions throughout the organization
  • Drive compliance projects by working with business, operations, product development and technology teams by drafting policies and procedures and overseeing implementation
  • Play a critical role in developing and overseeing the daily management of the broker dealer compliance program
  • Assist with various firmwide books and records obligations
  • Assist CCO with the 3120 annual reviews
  • Perform other duties as may be assigned


    • 7+ years of broker-dealer 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
    • Extensive knowledge of securities laws and SEC/SRO rules and regulations
    • Series 7 and 24 registrations
    • Bachelor's degree
    • Ability to work and excel in an innovative, fast-paced environment
    • Excellent presentation skills with the ability to present in a large group setting
    • 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
    • Strong technical skills in MS Word and Excel
    • Must be able to sit and/or stand for long periods of time in an office setting or in home office setting while working

Keywords: Forge Global, New York , Director, Senior Compliance Officer, Executive , New York, New York

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