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 US 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.
In this role, your responsibilities would include:
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Implementing Hiive’s compliance processes and functions for customer engagement, including KYC and AML, account opening and onboarding.
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Managing registered representative oversight, including registrations, exams, electronic correspondence surveillance, and conflict of interest tracking.
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Testing and modifying policies and procedures designed to achieve compliance with applicable securities laws and regulations.
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Maintain Hiive’s internal compliance resources and prepare guidance on compliance-related topics.
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Drafting and publishing FAQs and compliance bulletins to update Hiive on regulatory changes and developments.
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Preparing Hiive’s regulatory reporting and filings.
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Reviewing advertising and marketing for compliance with applicable rules, including principal approval and regulatory submissions.
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Conducting risk assessments and compliance reviews of Hiive’s operations.
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Staying up-to-date and informed about developments in the compliance and regulatory landscape, including private securities and information security/privacy issues.
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Developing and delivering compliance training.
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Advising product and engineering teams on regulatory requirements related to new products and existing product enhancements.
Requirements:
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Experience in a FINRA-regulated broker-dealer.
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Successful completion of FINRA Series 7 and 24 exams.
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University degree and 5+ years of experience in a compliance role within the securities industry.
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Attention to detail, and ability to stay on task and manage large volumes of work and documents.
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Resourcefulness and the ability to solve complex problems.
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Ability to communicate priorities and deadlines with internal and external stakeholders and build constructive high-trust relationships across teams and functions.
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Curiosity and a desire to grow, learn, and to become an expert in your field.
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Experience with Regulation D private securities (equities and/or funds) a plus.
Nice to Have:
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Experience with private funds.
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Investment adviser compliance experience.
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CCO Qualifying Exam administered by Canadian Securities Institute.
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CAMS or CFCS certification.
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Experience interacting with Canadian securities commissions.
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CIPP designations in Canada, US, and/or EU.
Compensation, Benefits, & Perks:
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Highly competitive salary commensurate with experience and contribution.
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Opportunity to participate in ownership of a rapidly growing early-stage startup through our employee stock option plan.
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Comprehensive 100% employer-paid health and dental premiums, a health and personal spending account.
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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.
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Enjoy a $20-per-day commuter benefit for every day you work in our Vancouver HQ.
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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.
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Significant opportunities for growth into team leadership and management roles.
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Entrepreneurial culture and a small and dynamic team.
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Sponsorship, immigration, and relocation for exceptional candidates.
Hiive is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.
Top Skills
Hiive Vancouver, British Columbia, CAN Office
34 W 8th Ave, Vancouver, British Columbia, Canada, V5Y 1M7