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Hiive

Compliance Associate

Posted 9 Days Ago
Be an Early Applicant
Remote
3 Locations
Senior level
Remote
3 Locations
Senior level
The Compliance Associate will implement compliance processes, manage oversight, conduct risk assessments, and advise teams on regulatory requirements, while staying updated on compliance developments.
The summary above was generated by AI

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: 

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

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

  • Testing and modifying 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.

  • Drafting and publishing FAQs and compliance bulletins to update Hiive on regulatory changes and developments. 

  • Preparing Hiive’s regulatory reporting and filings. 

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

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

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

  • Developing and delivering compliance training. 

  • Advising 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:

  • Highly competitive salary commensurate with experience and contribution.

  • 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, a health and personal 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.

Top Skills

Aml
Compliance-Related Software
Investment Management Systems
Kyc
Regulatory Reporting Systems
HQ

Hiive Vancouver, British Columbia, CAN Office

34 W 8th Ave, Vancouver, British Columbia, Canada, V5Y 1M7

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