Compliance Associate

Hiive; Vancouver; On-site; CAD 80,000 - 110,000; Full time

Benefits offered by this job

Employee stock option plan

100% employer-paid health & dental

Vancouver HQ desk & onsite gym

$20 daily commuter benefit

Team social calendar & retreats

Immigration sponsorship & relocation

Job summary

Hiive is redefining how private companies access liquidity and operates regulated entities in Canada. Hiive seeks a Compliance Associate to join the small team, owning transaction monitoring, regulatory filings, supervisory testing, and policy updates from the Vancouver HQ.

You will work directly with the Chief Compliance Officer to shape regulatory posture, maintain written procedures, and support examinations with FINRA, SEC, and local regulators.

Qualifications

• 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.

Responsibilities

• Conduct daily transaction monitoring reviews across HML's ATS, flagging and escalating potential supervisory exceptions.
• Prepare and submit regulatory filings for HML and HAI, including Form BD amendments, Reg D filings, AML reports, and IARD updates.
• Lead annual supervisory controls testing, documenting results and tracking remediation of identified gaps.
• Draft and maintain written supervisory procedures (WSPs), keeping them current with regulatory developments and business changes.
• Support FINRA, SEC, and BCSC examination responses, including document production and regulatory correspondence.
• Assist with AML/KYC reviews and customer due diligence processes under FINTRAC requirements.
• Help administer Greenboard for advertising review, OBA disclosures, and attestations.

Skills

Regulatory compliance

FINRA/SEC knowledge

Transaction monitoring

Reg D/AML filings

Technical writing

Canada work authorization

Job description

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.

In This Role, Your Responsibilities Would Include

• 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.

Required Skills

• 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.

Preferred Skills

• 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.

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 [e-mail].