Compliance Associate

Named #4 startup in Canada for 2024, Hiive is a fintech/marketplace startup connecting buyers and sellers of stock in venture-backed pre-IPO companies🚀. Thanks to our industry-leading technology and best-in-class capital markets team, we are home to the fastest-growing marketplace for the stock of “unicorns” on the planet. As a profitable and rapidly growing business backed by tier-one venture capital investors, we are seeking to scale our high-performing team.

As a Compliance Associate, you will be the right hand to our Chief Compliance Officer and play a critical role in building and maintaining our compliance and regulatory infrastructure in Canada and the United States, and fostering a culture of compliance throughout the company. 

Key Responsibilities & Challenges:

• Implement Hiive’s compliance processes and functions for customer engagement, including KYC and AML, account opening and onboarding.

• Manage registered representative oversight, including registrations, exams, electronic correspondence surveillance, and conflict of interest tracking. 

• Test and modify policies and procedures designed to achieve compliance with applicable securities laws and regulations. 

• Maintain Hiive’s internal compliance resources and prepare guidance on compliance-related topics.

• Draft and publish FAQs and compliance bulletins to update Hiive on regulatory changes and developments. 

• Prepare Hiive’s regulatory reporting and filings. 

• Review advertising and marketing for compliance with applicable rules, including principal approval and regulatory submissions.

• Conduct risk assessments and compliance reviews of Hiive’s operations.

• Stay up-to-date and informed about developments in the compliance and regulatory landscape, including private securities and information security/privacy issues. 

• Develop and deliver compliance training. 

• Advise product and engineering teams on regulatory requirements related to new products and existing product enhancements. 

Requirements:

• Experience in a FINRA-regulated broker-dealer

• Successful completion of FINRA Series 7 and 24 exams 

• University degree and 5+ years of experience in a compliance role within the securities industry.

• Attention to detail, and ability to stay on task and manage large volumes of work and documents.

• Resourcefulness and the ability to solve complex problems. 

• Ability to communicate priorities and deadlines with internal and external stakeholders and build constructive high-trust relationships across teams and functions.

• Curiosity and a desire to grow,  learn, and to become an expert in your field.

• Experience with Regulation D private securities (equities and/or funds) a plus.

Nice to Have:

• Experience with private funds

• Investment adviser compliance experience

• CCO Qualifying Exam administered by Canadian Securities Institute

• CAMS or CFCS certification.

• Experience interacting with Canadian securities commissions.

• CIPP designations in Canada, US, and/or EU. 

Compensation, Benefits, & Perks:

• Opportunity to participate in ownership of a rapidly growing early-stage startup through our employee stock option plan.

• Comprehensive 100% employer-paid health and dental premiums, and a health spending account.

• A dedicated desk in our Vancouver, BC HQ, in the heart of downtown, with a fridge stocked with healthy snacks and drinks, an onsite gym and a gorgeous rooftop amenity.

• Enjoy a $20 per day commuter benefit for every day you work in our Vancouver HQ.

• An engaging social calendar, including bi-weekly catered lunches, bi-weekly “Friday bar," team workouts, annual summer party and holiday party, two “onsite” all-team retreats each year, semi-annual team-building events, and Hiive Womens’ Network events.

• Significant opportunities for growth into team leadership and management roles.

• Entrepreneurial culture and a small and dynamic team.

• Sponsorship, immigration and relocation for exceptional candidates.

Hiive is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.