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 robust 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
- 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.

📌 Compliance Associate at Hiive (Vancouver)
🏢 Doist
📍 Vancouver