Director, BD/RIA Compliance

Company: Tbwa Chiat/Day Inc
Location: San Francisco
Posted on: January 29, 2025

Job 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.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:We are seeking a detail-oriented and proactive Director, BD/RIA Compliance to join Forge's broker-dealer and RIA Compliance Department. This role is essential in ensuring the firm meets all regulatory requirements and maintains a strong culture of compliance. The ideal candidate will have a strong understanding of SEC and FINRA regulations, excellent analytical skills, and the ability to work collaboratively in a fast-paced environment. Join our team to play a pivotal role in safeguarding the firm's compliance integrity and supporting its growth initiatives. This role reports directly to the Chief Compliance Officer of BD and RIA.Location: This role requires a hybrid work schedule, with 2-3 days per week in our San Francisco, CA or New York, NY office to foster collaboration and teamwork.Responsibilities:

• Develop, implement, and maintain broker-dealer written supervisory procedures ("WSPs").
• Assist the CCO with regulatory inquiries and examinations, as well as internal and external audits, risk assessments, and 3120 reviews.
• Review and approve 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 various firmwide books and records obligations.
• 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.
• Monitor and analyze developing industry and compliance trends and changes to laws and regulations, advise and implement policies and procedures that are designed to comply with regulatory and industry business practices.
• Review and approve marketing materials and other public communications.
• Manage the firm's Training Plan, which includes the design and delivery of regular and routine training to front-office, back-office, infrastructure, marketing, and other personnel, as appropriate.
• Responsible for employee supervision modules including employee electronic communication surveillance, outside business activity reviews, and outside brokerage account activity reviews.
• Drive compliance projects and initiatives by working with business, operations, product development, and technology teams by drafting policies and procedures and overseeing implementation.Qualifications:
  • 7 years of broker-dealer compliance experience and extensive background in developing and implementing policies and procedures.
  • Bachelor's degree required. In lieu of a degree, 6 or more years of relevant experience may suffice.
  • 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.
  • Strong technical skills in MS Word and Excel.
  • Ability to work and excel in an innovative, fast-paced environment.
  • 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, excellent presentation skills with the ability to present in a large group setting.
  • Must be able to sit and/or stand for long periods of time in an office setting or in home office setting while working.For residents of San Francisco/Bay Area, CA or New York, NY the annual salary range for this role is $135,000 - $175,000 + annual bonus. Final offers may vary from the amount listed based on geography, candidate experience and expertise, bonus, and other factors.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.
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Keywords: Tbwa Chiat/Day Inc, San Jose , Director, BD/RIA Compliance, Executive , San Francisco, California