Compliance Associate

Clarity (formerly Hiive); Vancouver; Sur place; CAD 100 000 - 130 000; Plein temps

Avantages offerts par ce poste

Stock options

Health & dental

HQ desk Vancouver

Commuter benefit

Social calendar

Career growth

Relocation sponsorship

Résumé du poste

Clarity is seeking a Compliance Associate to join its growing compliance team, reporting to the Chief Compliance Officer. You will help scale regulatory infrastructure across the US and Canada, ensuring adherence to securities laws while supporting product, business, and operations teams.

In this role, you will conduct monitoring, oversee registrations, test policies, and prepare regulatory filings. The position offers strong growth, relocation sponsorship, and a collaborative, fast-paced

Qualifications

• 3+ years of compliance, risk, or audit experience in a broker-dealer, exempt markets dealer, or investment adviser.
• Strong familiarity with the securities markets.
• Keen interest in researching novel regulatory requirements.
• Desire to advise product, business, and operations teams quickly.
• Track record of sound judgment under pressure.

Responsabilités

• 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 to comply with securities laws and regulations.
• Maintain internal compliance resources and prepare guidance on topics.
• Prepare regulatory reporting and filings.
• Monitor developments in compliance and privacy issues.
• Develop and deliver compliance training.
• Support regulatory exams with document production and correspondence.

Connaissances

Compliance

Securities

Risk management

Regulatory affairs

Auditing

Description du poste

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.

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

• 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].