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. #J-18808-Ljbffr

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