Be a vital part of Hiive as a Compliance Associate in Vancouver, BC. You will work closely with the Chief Compliance Officer to ensure adherence to complex regulatory requirements.

This high-ownership role will allow you to manage transaction monitoring and prepare regulatory submissions for our FINRA-registered and SEC-registered firms. Your expertise in compliance will contribute to maintaining our leading market position and operational integrity.

Key Responsibilities:
• Perform daily transaction reviews to identify exceptions
• Submit necessary regulatory filings, including Form BD
• Facilitate supervisory controls testing and address gaps
• Draft current policies reflecting regulatory developments
• Aid in examination and document production for regulatory bodies

Requirements:
• At least 2 years of compliance experience in relevant fields
• Proficient in FINRA rules and similar regulations
• Background in trade monitoring and compliance testing
• Robust drafting skills for compliance documentation
• Authorized to work in Canada and able to work in Vancouver

Utilize your compliance expertise at Hiive to shape our regulatory landscape and support growth.
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📌 Vancouver Compliance Associate at Hiive (British Columbia)
🏢 Doist
📍 British Columbia