Director, Compliance

Hiive

9d•Onsite

About The Position

Recognized as one of Canada’s top startups two years in a row — climbing from #4 in 2024 to #2 in 2025 — Hiive is a fintech/marketplace startup connecting buyers and sellers of stock in venture-backed pre-IPO companies🚀. Thanks to our industry-leading technology and best-in-class sales and trading team, we are home to the fastest-growing marketplace for the stock of “unicorns” on the planet. As a profitable and rapidly growing business backed by US venture capital investors, we are seeking to scale our high-performing team. Interested in learning more about life at Hiive? Check out our careers page to see how you can grow with us! As a Director of Compliance at Hiive, you will be an integral part of our compliance team, reporting to the Chief Compliance Officer, providing expert compliance support and guidance while supporting the successful growth and execution of our funds business. You will build a comprehensive investment adviser compliance program, registering Hiive’s adviser with the SEC. This is the perfect role for a mid- to senior-level compliance professional with an entrepreneurial mindset, incredible attention to detail, and a who thrives in a dynamic, fast-paced startup environment.

Requirements

8+ years of relevant compliance experience, at an RIA, BD, or both.
Strong familiarity with the Investment Advisers Act of 1940.
Exposure to work on private funds.
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.

Nice To Haves

Series 7 and 24.
Strong familiarity with the Investment Company Act of 1940 and registered funds.
Exposure to work on private investments and/or structuring alternative products.

Responsibilities

Create and implement an adviser compliance program, expanding from an exempt reporting adviser’s requirements.
Enhance and oversee the funds’ due diligence process.
Support all aspects of the funds business, including fund structuring and review of documentation, including limited partnership/limited liability company agreements, private placement memoranda, subscription agreements, and side letters.
Assist in development and implementation of operational infrastructure to support operation of funds through their lifecycle.
Provide strategic compliance support for Hiive’s funds team.
Work collaboratively with colleagues and stakeholders across multiple departments to facilitate strategic initiatives related to Hiive’s funds business.
Broker-dealer compliance program support, particularly for placement agent activities.

Benefits

Highly competitive salary commensurate with experience and contribution.
Opportunity to participate in ownership of a rapidly growing early-stage startup through our employee stock option plan.
Comprehensive 100% employer-paid health and dental premiums, a health and personal spending account.
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 Womens’ 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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