Compliance Associate
Hiive is redefining how private companies and their shareholders access liquidity. Through its institutional-grade platform, Hiive brings together buyers, sellers, and issuers to facilitate secondary transactions in venture-backed, pre-IPO companies, introducing efficiency, transparency, and standardization to an otherwise opaque asset class.
Recognized as one of Canada’s fastest-growing companies and backed by leading U.S. investors, Hiive is profitable, well-capitalized, and building a high-performance team to meet growing demand and pursue new market opportunities.
Interested in learning more about life at Hiive? Check out our careers page https://www.hiive.com/careers to see how you can grow with us!
As a Compliance Associate at Hiive, you will work directly with the Chief Compliance Officer to keep two regulated entities — Hiive Markets Limited (a FINRA-registered broker-dealer) and Hiive Advisors Inc. (an SEC-registered investment adviser) — running clean. You'll own core compliance workstreams: transaction monitoring, regulatory filings, supervisory testing, and policy maintenance. This is a high-ownership role on a small team where your work directly shapes the firm's regulatory posture.
In this role, your responsibilities would include
- Conducting daily transaction monitoring reviews across HML's ATS, flagging and escalating potential supervisory exceptions.
- Preparing and submit regulatory filings for HML and HAI, including Form BD amendments, Reg D filings, AML reports, and IARD updates.
- Leading annual supervisory controls testing, documenting results and tracking remediation of identified gaps.
- Drafting and maintaining written supervisory procedures (WSPs), keeping them current with regulatory developments and business changes.
- Supporting FINRA, SEC, and BCSC examination responses, including document production and regulatory correspondence.
- Assisting with AML/KYC reviews and customer due diligence processes under FI...