Compliance Associate

Clarity; Vancouver; On-site; CAD 100,000 - 130,000; Full time

Benefits offered by this job

Employee stock option plan

Health & dental premiums covered by us

Vancouver HQ desk with amenities

Commuter benefit in Vancouver HQ

Job summary

Clarity in Vancouver, BC is seeking a Compliance Associate to scale our regulatory infrastructure across the US and Canada. You will report to the Chief Compliance Officer and help ensure adherence to securities laws while supporting product, business, and operations teams.

Responsibilities include transaction monitoring, broker-dealer oversight, policy testing, regulatory reporting, and training. Preferred candidates hold FINRA Series 7 and 24 and have experience in cross-border compliance.

Qualifications

• 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.
• Ability to research novel and ambiguous regulatory requirements and provide pragmatic guidance.
• Experience working in an agile team providing pragmatic advice to product, business, and operations teams.

Responsibilities

• Conduct daily transaction monitoring reviews, flagging and escalating potential exceptions.
• Manage registered representative oversight including registrations, exams, and conflict of interest tracking.
• Test and modify policies and procedures to comply with securities laws and regulations.
• Maintain internal compliance resources and prepare guidance on compliance topics.
• Prepare regulatory reporting and filings for Clarity.
• Monitor developments in compliance and regulatory landscape including private securities and information security/privacy.
• Develop and deliver compliance training.
• Support regulatory exams with document production and correspondence.

Skills

Compliance experience

Securities markets

Problem solving

Agile teamwork

Composure under pressure

Education

FINRA Series 7 & 24

Job description

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 Associate at Clarity, 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 Clarity’s internal compliance resources and prepare guidance on compliance-related topics.
• Prepare Clarity’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 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 [e-mail].