Compliance Associate
About The Position
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. As a Compliance Associate at Hiive, you will work directly with the Chief Compliance Officer to keep two regulated entities — Hiive Markets Limited (a FINRA-registered broker-dealer) and Hiive Advisors Inc. (an SEC-registered investment adviser) — running clean. You'll own core compliance workstreams: transaction monitoring, regulatory filings, supervisory testing, and policy maintenance. This is a high-ownership role on a small team where your work directly shapes the firm's regulatory posture.
Requirements
- 2+ years of compliance experience at a FINRA-registered broker-dealer, exempt markets dealer, or SEC-registered investment adviser.
- Working knowledge of FINRA rules, the Exchange Act, and Regulation D.
- Direct experience with transaction monitoring, trade surveillance, or supervisory testing.
- Experience preparing or contributing to regulatory filings (Form BD, IARD, Reg D, AML/FINTRAC reports).
- Strong writing skills — able to draft clear, accurate compliance documentation without extensive revision.
- Authorization to work in Canada and ability to work from Vancouver, BC.
Nice To Haves
- Experience in a dual-registered (broker-dealer and investment adviser) or cross-border (US/Canadian) compliance environment.
- Familiarity with private securities, alternative trading systems, or pre-IPO markets.
- FINRA Series 7 or other securities registration.
- Experience with CIRO rules or BCSC regulatory requirements.
Responsibilities
- Conducting daily transaction monitoring reviews across HML's ATS, flagging and escalating potential supervisory exceptions.
- Preparing and submit regulatory filings for HML and HAI, including Form BD amendments, Reg D filings, AML reports, and IARD updates.
- Leading annual supervisory controls testing, documenting results and tracking remediation of identified gaps.
- Drafting and maintaining written supervisory procedures (WSPs), keeping them current with regulatory developments and business changes.
- Supporting FINRA, SEC, and BCSC examination responses, including document production and regulatory correspondence.
- Assisting with AML/KYC reviews and customer due diligence processes under FINTRAC requirements.
- Helping administer Greenboard (the firm's compliance workflow platform) for advertising review, OBA disclosures, and attestations.
Benefits
- 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.
- 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.
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
