Compliance Associate

Overview

Recognized as one of Canada’s top startups two years in a row — climbing from #4 in 2024 to #2 in 2025 — Hiive is a fintech/marketplace startup connecting buyers and sellers of stock in venture-backed pre-IPO companies. Thanks to our industry-leading technology and best-in-class sales and trading team, we are home to the fastest-growing marketplace for the stock of “unicorns” on the planet.

As a profitable and rapidly growing business backed by US venture capital investors, we are seeking to scale our high-performing team. Interested in learning more about life at Hiive? Check out our careers page to see how you can grow with us!

• Implementing Hiive’s compliance processes and functions for customer engagement, including KYC and AML, account opening, and onboarding.
• Managing registered representative oversight, including registrations, exams, electronic correspondence surveillance, and conflict of interest tracking.
• Testing and modifying policies and procedures designed to achieve compliance with applicable securities laws and regulations.
• Maintaining Hiive’s internal compliance resources and prepare guidance on compliance-related topics.
• Drafting and publishing FAQs and compliance bulletins to update Hiive on regulatory changes and developments.
• Preparing Hiive’s regulatory reporting and filings.
• Monitoring and implementing developments in the compliance and regulatory landscape, including private securities and information security/privacy issues.
• Developing and delivering compliance training.

• 3+ years of relevant compliance, risk, or audit experience at a broker-dealer, exempt markets dealer, and/or investment adviser.
• Strong familiarity with the securities markets.
• A keen interest in creative problem solving, including researching novel and ambiguous regulatory requirements.
• A desire to work on an agile team providing pragmatic advice and guidance to product, business, and operations teams that are moving very quickly.
• A track record of sound judgment and composure in high-pressure situations.

• FINRA Series 7 and 24.
• CCO Qualifying Exam administered by the Canadian Securities Institute.
• CAMS or CFCS certification.
• Strong familiarity with FINRA rules and US securities laws.
• Exposure to work on private investments and/or structuring alternative products.

• Highly competitive salary commensurate with experience and contribution.
• Opportunity to participate in ownership of a rapidly growing early-stage startup through our employee stock option plan.
• Comprehensive 100% employer-paid health and dental premiums, a health and personal spending account.
• A dedicated desk in our Vancouver, BC HQ, in the heart of downtown, with a fridge stocked with healthy snacks and drinks, an onsite gym, and a gorgeous rooftop amenity.
• Enjoy a $20-per-day commuter benefit for every day you work in our Vancouver HQ.
• An engaging social calendar, including bi-weekly catered lunches, bi-weekly “Friday bar,” team workouts, annual summer party, and holiday party, two “onsite” all-team retreats each year, semi-annual team-building events, and Hiive Womens’ Network events.
• Significant opportunities for growth into team leadership and management roles.
• Entrepreneurial culture and a small and dynamic team.
• Sponsorship, immigration, and relocation for exceptional candidates.

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