Compliance Associate

Hiive is redefining how private companies and their shareholders access liquidity. Through its institutional-grade platform, Hiive brings together buyers, sellers, and issuers to facilitate secondary transactions in venture-backed, pre-IPO companies, introducing efficiency, transparency, and standardization to an otherwise opaque asset class.

Recognized as one of Canada’s fastest-growing companies and backed by leading U.S. investors, Hiive is profitable, well-capitalized, and building a high-performance team to meet growing demand and pursue new market opportunities.

Interested in learning more about life at Hiive? Check out our careers page https://www.hiive.com/careers to see how you can grow with us!

As a Compliance Associate at Hiive, you will be an integral part of our compliance team, reporting to the Chief Compliance Officer. You will play a critical role in scaling and maintaining our compliance and regulatory infrastructure in the United States and Canada, fostering a culture of compliance throughout the company.

In this role, your responsibilities would include

• Conducting daily transaction monitoring reviews, flagging, and escalating potential exceptions.
• 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.
• Prepare Hiive’s regulatory reporting and filings.
• Monitor and implement developments in the compliance and regulatory landscape, including private securities and information security/privacy issues.
• Develop and deliver compliance training.
• Supporting regulatory exams, including document production and regulatory correspondence.

Required skills

• 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

• Experience in a dual-registered (broker-dealer and investment adviser) or cross-border (US/Canadian) compliance environment.
• FINRA Series 7 and 24.
• Familiarity with FINRA rules and US securities laws.
• Exposure to work on private investments and/or structuring alternative products.

Compensation: Highly competitive compensation commensurate with experience and contribution.

• Vancouver, BC: $100,000-$130,000

For this role, the estimated total compensation range is listed above. The actual base salary, variable bonus (if applicable), and options grant will vary based on various factors, including market and individual qualifications objectively assessed during the interview process. The listed range above is a guideline, and the range for this role may be modified.

Benefits & Perks

• Opportunity to participate in ownership of a rapidly growing company through our employee stock option plan.
• Comprehensive 100% employer-paid health & dental premiums and a Health/Personal Spending Account for Canadian employees. (An employer-subsidized benefits program is available for US-based team members).
• If you are based in Vancouver, enjoy 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.
• Vancouver based employees enjoy a $20-per-day commuter benefit for every day you work in our downtown 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 Women’s 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.