Dynamic Compliance Associate, US & Canada

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 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.