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. The Role:The Compliance Testing Associate will be responsible for directly supporting the Senior Director of Compliance Testing in the development, execution and continued improvement of the firm wide Compliance Testing program.This will be a hybrid role where you'll be onsite 1-2 days a week.Responsibilities:
- Perform risk-based testing activities that cover regulatory obligations for BSA/AML, FINRA, SEC and consumer protections compliance across the Forge organization
- Follow established Policy and Procedures in the Compliance Testing life cycle of planning, execution, reporting and issue remediation and provide escalation as needed
- Assist Senior Director of Testing in communicating with key stakeholders to obtain required support documentation and information to conduct assigned testing
- Conduct root cause analysis for issues identified during testing engagements and effectively communicate the resulting remediation plans to stakeholders and management
- Assist in the development and improvement of the compliance testing program through the updating of test steps and review procedures as needed
- Stay current on regulatory developments and industry events to identify trends and emerging risks impacting Forge and the Compliance Testing program
- Continuously add value through efficient execution and effective project management
- Develop cohesive relationships with internal stakeholders
Qualifications:
- 3+ years of broker-dealer experience
- Experience/background in audit, compliance/regulatory testing or consulting on internal controls ideally for a broker-dealer, investment advisor or trust company
- Working knowledge of laws, regulations and risk management practices for financial services
- Good written/verbal communication, critical thinking and problem-solving skills
- Understanding audit methodologies and compliance testing practices in the assessment of internal controls
- Bachelor's degree (required)
- Series 7 and 24 registrations (preferred)
- Experience with or previous exposure to financial services regulators (preferred)
- Must be able to sit and/or stand in an office or remote setting for long periods of time while working
For residents of San Francisco/Bay Area, CA or New York, NY the annual salary range for this role is $85,000 - $95,000 + bonus. Final offers may vary from the amount listed based on geography, candidate experience and expertise, annual bonus, and other factors.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.