Director of Internal Control and Document Services

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, accountable, and humble. 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 artificial intelligence, 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. 

Forge Trust specializes in custody of alternative investments, including Private Funds, with 30 plus years of experience and $16B AUC.  As a subsidiary of Forge Global, we are uniquely positioned to provide Custody solutions to Private Markets. We understand the industry and can help navigate the associated rules and regulations. With specific focus on Self-Directed IRAs, and providing solutions to financial institutions to create seamless,  Private Fund Custody – we increase investor confidence while reducing operational overhead and risk by having funds custodied by us (a third-party).  Forge Trust manages investor cash processing on behalf of funds and facilitates investments at the direction of clients, in addition to providing reporting on fund/investor activity.  

The Role:  

The Director of Internal Controls and Document Services is responsible for leading the team and organization’s internal control function, which includes establishing, implementing, and maintaining a robust internal control framework. This role ensures compliance with regulatory requirements, mitigates financial and operational risks, and enhances organizational governance through independent assurance. The Director will work cross-functionally with senior leadership to promote a culture of accountability, transparency, and continuous improvement. This individual will also lead the operational team and workflow of all deposits of client checks, incoming and outgoing documents including receipt of original documents for vault storage, and facilitating the mass mailing of client correspondence.  

Location: San Francisco, CA: Must be able to work onsite at the San Francisco, CA office 5 days a week 

Responsibilities: 

Internal Control Framework and Leadership 

• Develop a thorough understanding of Forge Trust’s transaction processing and oversee controls and continuous process improvement.  
• Represent Forge Trust Operations in analyzing and resolving control and process issues associated with Forge Trust’s operations.  
• Primary point of contact for internal and external audit requirements and execution. 
• Performs monthly and quarterly account reviews with reports to the board of directors. 
• Manage proper safekeeping process and follow abandoned property laws for timely action. 

Document Services Leadership 

• Ensure accurate and timely processing of all incoming and outgoing documents and check deposits. 
• Develop and execute workflow improvements and controls within the department and in conjunction with other departments, ensuring the customer experience is highlighted 
• Manage the relationship with third party vendors such as postage, couriers, etc. 
• Coordinate outgoing client mailings meet applicable deadlines, and the mailings reconcile 
• Ensure accurate receipt of original documents and certificates for vault storage 

Team Leadership and Development 

• Lead, mentor, and develop high-performing teams. 
• Foster a collaborative, ethical, and high-integrity work environment. 
• Establish and monitor key performance indicators (KPIs) and service level agreements (SLAs) for quality, efficiency, and productivity 
• Hands on and highly involved in the day-to-day functions of the team 

Qualifications: 

• Bachelor's degree (B. A.) preferred 
• 8+ years of progressive experience in internal controls, audit, or operations; 5+ years in a leadership or managerial role 
• Strong organizational skills and ability to proactively manage various workflows 
• Excellent attention to detail and verbal/written communication skills for both internal departments and external vendors 
• Strong strategic and critical thinking skills while performing in fast, high-pressure situations 
• Passion and interest in finance, retirement, and industry trends 
• Lead and motivate the department and others through increased operational efficiency and improved operational controls 
• The ability to implement new processes and controls and adopt to evolving workflows 
• Ability to manage audit requests while keeping other stakeholders informed and on schedule.
• Tools: Laserfiche, Zendesk and Microsoft Office Experience preferred 
• Must be able to work onsite at the San Francisco, CA office 5 days a week 

For residents of San Francisco, CA the annual salary range for this role is $160,000 - $170,000 + 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.