Candidates with broker-dealer compliance experience in a cross-border US/Canadian environment will find this agile team environment engaging.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Hiive via Ashby
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, Benefits & Perks:
- Highly competitive salary commensurate with experience and contribution.
- 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.
- 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 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.
AI, automated tools, and applicant privacy notice:
As part of our recruitment and hiring process, Hiive 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@hiive.com.
Source: Hiive careers (Ashby)