Compliance Associate

Hiive
Vancouver
Workplace: OnsiteFull timeCAD 100,000 - 150,000 annuallyFunction: Legal, Risk & ComplianceExperience: 3+ yearsSkills: ["Problem-solving","Communication","Adaptability","Teamwork","Attention to detail"]

Compliance Associate at a fintech/marketplace startup focuses on scaling and maintaining regulatory infrastructure in the United States and Canada. You’ll implement KYC/AML processes, oversee registered representatives, test policies for securities compliance, prepare regulatory reporting, monitor regulatory changes, and deliver training within an agile, high-pressure environment.

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Hiive
Hiive
6 months ago

Compliance Associate

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Source: Company careers pageValidated by: Fursa AI
Last checked: 11 hours agoStatus: Live

Job Summary

Compliance Associate at a fintech/marketplace startup focuses on scaling and maintaining regulatory infrastructure in the United States and Canada. You’ll implement KYC/AML processes, oversee registered representatives, test policies for securities compliance, prepare regulatory reporting, monitor regulatory changes, and deliver training within an agile, high-pressure environment.
Location: Vancouver
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Entry level

Key Responsibilities

  • •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.

Pay and Benefits

Salary: CAD 100,000 - 150,000 annually
Equity and Bonus:Equity
Perks:Health InsuranceDentalCommuter BenefitsEquity

Key Requirements

  • •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.
Experience:3+ yearsFintechMarketplace
Skills:Problem-solvingCommunicationAdaptabilityTeamworkAttention to detail
Licenses:Securities
Certifications:FINRA Series 7FINRA Series 24CCO Qualifying ExamCAMSCFCS
Tech Stack:KYCAMLFINRACFCSCAMS

Company Brief

Hiive
Hiive operates an electronic marketplace for buying and selling shares of venture-backed, pre-IPO companies, providing price discovery, order-book liquidity and transaction infrastructure for private secondary markets.
Industry: Trading Platforms
Company Size: Medium (51 to 250 employees)
Growth: Early Stage Startup
Valuation: USD 50M to 100M
Funding: Series A
Headquarters: Vancouver, Canada
Founded: 2021
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