Compliance Testing Associate, Forge

• 3+ years of audit, compliance/regulatory testing or consulting on internal controls experience [ideally for a broker-dealer, investment advisor or trust company]
• Bachelor’s degree (required)
• Working knowledge of laws, regulations and risk management practices for financial services
• Understanding audit methodologies and compliance testing practices in the assessment of internal controls
• Good written/verbal communication, critical thinking and problem-solving skills
• Must be able to sit and/or stand in an office or remote setting for long periods of time while working
• 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

Desirable

• 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 1-3 days a week
• 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