Strong fit for detail-oriented candidates who can manage process-driven tasks and thrive in a collaborative, entrepreneurial environment.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Hiive via Ashby
Clarity is redefining how private companies and their shareholders access liquidity. Through its institutional-grade platform, Clarity 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, Clarity 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 Clarity? Check out our careers page to see how you can grow with us!
As a Compliance Analyst at Clarity, you will support the day-to-day work that keeps our broker-dealer and investment adviser compliant. You will start with defined, process-driven tasks and learn the compliance function from the ground up. No prior compliance experience is required. We will train you.
In this role, your responsibilities would include:
- Review and monitor employee trading, activity, and electronic communications against the Code of Ethics and firm policies, and run surveillance checks to verify compliance.
- Support compliance testing and audit reviews, working with business units to resolve findings and remediation items.
- Assist with regulatory filings, registrations, and disclosures, and track regulatory deadlines with the relevant stakeholders.
- Maintain compliance records, registers, certifications, and supporting documentation in the firm’s platform, and follow up on gaps until resolved.
- Support customer onboarding, due diligence, suitability, and investor profile.
- Prepare and maintain compliance policies, procedures, and manuals, and support the compliance risk assessment.
- Administer the compliance training program and prepare compliance reporting for senior management, including remediation and exception reporting.
- Coordinate documentation requests across internal teams and with external counsel and service providers, and support strategic and administrative projects for Legal and Compliance.
Required Skills:
- Strong attention to detail and accuracy in process-driven work.
- Clear written communication.
- Ability to follow a documented process and keep organized records.
- Ability to manage several tasks and meet deadlines.
- Discretion with confidential information.
- Interest in learning compliance and securities regulation.
Preferred Skills:
- Experience in operations, administration, or a similar process-driven role.
- Experience at an exempt market dealer, broker-dealer, or registered investment adviser.
- Series 7.
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 Clarity 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.
Clarity is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.
AI, automated tools, and applicant privacy notice:
As part of our recruitment and hiring process, Clarity may use automated tools, including artificial intelligence (AI), to assist in screening applications, evaluating candidate qualifications, and supporting interview processes. These tools are designed to support and inform human decision-making and are not used as the sole basis for any employment decision.
We may collect, use, and analyze personal information you provide in connection with your application, including generating insights or inferences to assess job-related qualifications. This information is used for recruitment, evaluation, and compliance purposes in accordance with applicable law.
We take reasonable steps to evaluate and monitor our hiring tools and practices to promote fairness, consistency, and non-discrimination. Where required by applicable law - including in Ontario, Quebec, New York City, Illinois, and California - we conduct or rely on assessments such as bias audits, honor rights related to automated decision-making, and provide additional disclosures on request.
Depending on your location, you may have certain rights with respect to your personal information and the use of automated processing, including the right to request access to, correction of, or deletion of your information, or to receive additional information about our data practices. We honor such rights where required by applicable law.
For accommodation requests or questions about this notice, contact careers@clarity.com.
Source: Hiive careers (Ashby)