Forge
Offices at Forge
Forge is headquartered in San Francisco, California, USA and has 2 office locations.
Hybrid Workplace
Employees engage in a combination of remote and on-site work.
Role and team dependent
Typical time on-site:
Flexible
U.S. Office Locations
San Francisco Office
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Our SF office is located in the heart of the financial district and right next to the historic Ferry building.
New York Office
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Our NYC office is situated in the vibrant SoHo neighborhood, surrounded by trendy cafes, boutiques and galleries.
Recently posted jobs
Artificial Intelligence • Big Data • Cloud • Fintech • Machine Learning • Business Intelligence • Financial Services
The Director of BD/RIA Compliance is responsible for ensuring regulatory compliance within the broker-dealer and RIA sectors. This role involves developing written supervisory procedures, managing state registrations, assisting with regulatory inquiries, reviewing offering documents, and monitoring compliance trends. Strong analytical skills and knowledge of SEC and FINRA regulations are essential.
Artificial Intelligence • Big Data • Cloud • Fintech • Machine Learning • Business Intelligence • Financial Services
The Director of BD/RIA Compliance is responsible for ensuring compliance with SEC and FINRA regulations, developing and maintaining supervisory procedures, conducting audits, managing state registrations, and overseeing compliance training. The role requires strong analytical skills and collaboration across teams to implement policies that adhere to regulatory standards.
Artificial Intelligence • Big Data • Cloud • Fintech • Machine Learning • Business Intelligence • Financial Services
The Director, BD/RIA Compliance will ensure Forge meets regulatory requirements and maintains compliance culture. Responsibilities include developing supervisory procedures, managing state registrations, assisting with regulatory inquiries, and overseeing compliance projects. The ideal candidate must have extensive broker-dealer compliance experience, a strong understanding of securities laws, and excellent communication skills.
