Compliance Associate

About the role

You will partner directly with the Chief Compliance Officer to safeguard the integrity of two regulated entities, Hiive Markets Limited and Hiive Advisors Inc. This position places you at the center of regulatory oversight, where your daily decisions help define the firm's control environment. You will own critical workflows that ensure transactions, policies, and disclosures align with regulatory expectations. The role demands a high degree of ownership because your work has a direct and measurable impact on the firm's regulatory posture. You will challenge assumptions and ask probing questions to strengthen controls before issues arise. This is an ideal opportunity for someone who thrives in a regulated environment and wants to see the results of their efforts in real time. Your contributions will support the firm's growth while maintaining the highest standards of compliance.

Key facts

What you'll do

Conduct daily transaction monitoring reviews across HML's ATS, identifying, escalating, and documenting potential supervisory exceptions with precision.

Prepare and submit regulatory filings for HML and HAI, including updating Form BD, managing Reg D notifications, filing AML reports, and maintaining IARD records.

Lead annual supervisory controls testing, designing testing approaches, documenting outcomes, and tracking remediation plans to closure.

Draft, update, and maintain written supervisory procedures, ensuring WSPs reflect current regulatory guidance and evolving business activities.

Support FINRA, SEC, and BCSC examination responses by coordinating document production, fielding inquiries, and maintaining regulatory correspondence.

Assist with AML/KYC reviews, performing customer due diligence and assessing risk under FINTRAC requirements to ensure appropriate controls.

Help administer Greenboard, the firm's compliance workflow platform, overseeing advertising reviews, OBA disclosures, and attestations to ensure timely completion.

Monitor changes in FINRA, SEC, and BCSC rules, translating complex regulatory updates into practical procedures for the business.

Collaborate with legal, operations, and technology teams to resolve compliance gaps and implement effective control enhancements.

Act as a key point of contact for regulators, ensuring responses are accurate, thorough, and aligned with firm policies.

Support ongoing process improvements that enhance the reliability and efficiency of compliance activities across the organization.

Contribute to special projects such as policy rollouts, risk assessments, and training initiatives that strengthen the compliance culture.

Review and analyze transaction data to detect patterns that may indicate control weaknesses or require further investigation.

Maintain detailed workpapers and reports that demonstrate robust oversight and support internal and external audit activities.

Requirements

Possess 2+ years of compliance experience at a FINRA-registered broker-dealer, exempt markets dealer, or SEC-registered investment adviser.

Have a working knowledge of FINRA rules, the Exchange Act, and Regulation D to interpret requirements accurately.

Bring direct experience with transaction monitoring, trade surveillance, or supervisory testing in a regulated environment.

Show familiarity with preparing or contributing to regulatory filings such as Form BD, IARD, Reg D, and AML/FINTRAC reports.

Demonstrate strong writing skills, producing clear, accurate compliance documentation that requires minimal revision.

Hold authorization to work in Canada and be able to work from Vancouver, BC on a full-time basis.

Understand the importance of confidentiality and discretion when handling sensitive regulatory information.

Be comfortable working within a structured compliance framework while maintaining attention to detail.

Nice to have

Bring experience from a dual-registered or cross-border US/Canadian compliance environment.

Show familiarity with private securities, alternative trading systems, or pre-IPO markets.

Hold FINRA Series 7 or other securities registration relevant to the roles and responsibilities.

Have experience with CIRO rules or BCSC regulatory requirements specific to Canadian securities regulation.

Practical notes

This is a full-time position based in Vancouver, BC.

The work location is primarily in Vancouver, with an expectation to work from the downtown HQ.

No remote or hybrid arrangements are specified in the source material.

There is no mention of a deadline to apply in the provided source.

Compensation, Benefits & Perks

The role includes a highly competitive salary that is commensurate with experience and contribution.

You may participate in the employee stock option plan, offering ownership in a rapidly growing company.

Comprehensive 100% employer-paid health & dental premiums are provided for Canadian employees.

An employer-subsidized benefits program is available for US-based team members.

If you are based in Vancouver, you will have a dedicated desk in the downtown HQ, access to a fridge with healthy snacks, an onsite gym, and a rooftop amenity.

Enjoy a $20-per-day commuter benefit for every day you work in the Vancouver HQ.

The social calendar includes bi-weekly catered lunches, bi-weekly "Friday bar," team workouts, an annual summer party, and a holiday party.

There are two onsite all-team retreats each year, along with semi-annual team-building events and Hiive Women's Network activities.

Significant opportunities exist for growth into team leadership and management roles.

The culture is entrepreneurial, supported by a small and dynamic team.

Sponsorship, immigration, and relocation support is available for exceptional candidates.

Hiive is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.

As part of our recruitment and hiring process, Hiive may use automated tools, including artificial intelligence (AI), to assist in screening applications, evaluating candidate qualifications, and supporting interview processes. These tools are designed to support and inform human decision-making and are not used as the sole basis for any employment decision.

We may collect, use, and analyze personal information you provide in connection with your application, including generating insights or inference