Compliance Associate
Hiive
- Vancouver, British Columbia, Canada
- Onsite
- Posted Aug 11, 2026
Job description
About the role
The Compliance Associate works directly with the Chief Compliance Officer to maintain regulatory compliance for two entities – Hiive Markets Limited, a FINRA‑registered broker‑dealer, and Hiive Advisors Inc., an SEC‑registered investment adviser – handling transaction monitoring, filings, supervisory testing and policy upkeep in a high‑ownership, small‑team environment.
About the company
Hiive provides an institutional‑grade platform that enables liquidity for venture‑backed, pre‑IPO private companies by connecting buyers, sellers and issuers for secondary transactions. Based in Canada, it is a fast‑growing, profitable, well‑capitalized company backed by US investors.
Requirements
- 2+ years of compliance experience at a FINRA‑registered broker‑dealer, exempt markets dealer, or SEC‑registered investment adviser.
- Working knowledge of FINRA rules, the Exchange Act, and Regulation D.
- Direct experience with transaction monitoring, trade surveillance, or supervisory testing.
- Experience preparing or contributing to regulatory filings (Form BD, IARD, Reg D, AML/FINTRAC reports).
- Strong writing skills for clear, accurate compliance documentation.
- Authorization to work in Canada and ability to work from Vancouver, BC.
- Experience in a dual‑registered (broker‑dealer and investment adviser) or cross‑border (US/Canadian) compliance environment (preferred).
- Familiarity with private securities, alternative trading systems, or pre‑IPO markets (preferred).
- FINRA Series 7 or other securities registration (preferred).
- Experience with CIRO rules or BCSC regulatory requirements (preferred).