Elevate your compliance career at Hiive as a Compliance Associate in Vancouver, BC. You'll work directly with the Chief Compliance Officer to manage regulatory obligations and strengthen internal processes.

As a key member of a small, dynamic team, you'll oversee transaction monitoring and regulatory filings for FINRA and SEC-registered entities. This role requires strong compliance knowledge and the ability to draft precise documentation, directly influencing the company's regulatory landscape.

Key Responsibilities:
• Conduct daily transaction monitoring for potential issues
• Prepare regulatory filings, including Form BD and Reg D
• Lead supervisory controls testing and documentation




• Draft and maintain written supervisory procedures
• Assist with examination responses for various regulators

Requirements:
• 2+ years in compliance at a broker-dealer or investment adviser
• Knowledge of FINRA rules and SEC regulations
• Experience with transaction monitoring and trade surveillance
• Solid writing skills for compliance documentation
• Authorization to work in Canada from Vancouver

Leverage your compliance expertise at Hiive to make a significant impact on the firm's success.
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📌 Compliance Associate at Hiive (British Columbia)
🏢 Doist
📍 British Columbia