Senior Counsel, Forge

• The ideal candidate will have significant experience in covering day-to-day broker-dealer sales and trading and understanding of relevant SEC and FINRA rules and regulations, as well as some experience and understanding of RIA regulation, management of private funds, and custody of cash and securities
• We are looking for someone with the ability to think and act both strategically and tactically with respect to the needs and objectives of our business while ensuring that the company remains compliant with various securities laws and regulations as well as industry best practices in financial services
• Juris Doctor (J.D.) degree from an accredited law school and licensed to practice law
• Top academic and professional credentials
• 3-5 years of experience – ideal candidate will have a combination of law firm and in house experience
• Required experience with broker-dealer sales and trading, and primary placement of securities; understanding of securities law and regulations under the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA rules and regulations, including operational, custodial, settlement, and other matters related to transactions in restricted securities
• Experience drafting and negotiating brokerage agreements and private fund documents
• Demonstrated ability to handle matters independently a willingness to learn and provide support to other areas
• Must be able to sit and/or stand for long periods of time in an office or home office setting while working
• All employees covered by this policy are required to be fully vaccinated as a term and condition of employment at Forge

Desirable

• We are looking for a Senior Counsel, Capital Markets to join our Legal Department
• This role will serve as coverage for Forge’s regulated businesses, with primary focus on Forge’s broker-dealer and registered investment adviser
• The role will also support the custody and lending businesses of Forge
• Advise on day-to-day activities broker-dealer, including secondary trading, primary placement, and various transaction related questions, including cross border transactions and issues
• Work closely with the RIA business and advise on issues related to structuring, placement and management of private funds
• Work with and provide legal advice on issues related to the custody and lending business, including support related to handling of client complaints, questions, and potential disputes related to custodial accounts
• Partner with the business, product and engineering teams on developing or integrating various products and services across the various regulated businesses, including provide advice on specific legal and regulatory issues
• Draft/update various template agreements and other relevant documentation and handle negotiations of agreements with clients and other counterparties
• Provide support related to public company filings, including review and advise on revisions required as part of Forge’s SEC disclosures
• Collaborate closely with compliance, risk, and other internal teams on various aspects related to Forge’s regulated businesses, including marketing materials review, SEC and FINRA filings, intercompany agreements, inquiries and examinations, etc
• Stay abreast of regulatory developments and industry standards and provide guidance to internal stakeholders, as well as revise and update policies, forms, and agreements as necessary
• Work on cross-functional company initiatives and other special projects as needed