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.
Maintaining 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.
Monitoring and implementing developments in the compliance and regulatory landscape, including private securities and information security/privacy issues.
Developing and delivering compliance training.

3+ years of relevant compliance, risk, or audit experience at a broker-dealer, exempt markets dealer, and/or investment adviser.
Strong familiarity with the securities markets.
A keen interest in creative problem solving, including researching novel and ambiguous regulatory requirements.
A desire to work on an agile team providing pragmatic advice and guidance to product, business, and operations teams that are moving very quickly.
A track record of sound judgment and composure in high-pressure situations.
Preferred Skills: FINRA Series 7 and 24.
CCO Qualifying Exam administered by the Canadian Securities Institute.
CAMS or CFCS certification.
Strong familiarity with FINRA rules and US securities laws.
Exposure to work on private investments and/or structuring alternative products.

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.

Compliance Associate

Key skills