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 exact 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
• Strong 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 (Vancouver)
🏢 Doist
📍 Vancouver