Episode 1 - Meet the CCO: Part 1

Q: How did WealthForge become one of the largest and most experienced managing broker-dealers in the alts industry?
A: Its people.

The individuals behind WealthForge bring an abundance of expertise and experience that often gets outshined by the firm’s collective success. To rectify that, we are thrilled to announce the debut of our new podcast series: Forge in Focus.

First under the spotlight is Chief Compliance Officer Jim Raper, the subject of our aptly titled first episode, “Meet the CCO.” In Part One, “A CCO’s Journey,” Jim talks about his background in compliance and how he sets the tone for the firm. In conversation with Due Diligence Analyst Colin Berger, Jim shares a few lessons he’s learned along the way as well:

“When it comes to compliance, the first lesson I learned is you need to pay attention to the regulations that apply to the business that you’re doing, and you need to do your very best to make sure that you’ve covered all the bases—and if you have questions, you need to ask the questions, and [make sure] you have good answers.”

Jim also responds to FINRA Regulatory Notice 2210 from March, which encourages CCOs of member firms to be “advisory, not supervisory” in their roles. Listen to what he had to say about that and other topics in Part One of “Meet the CCO”: