Engagement Specialist managing client interactions at the Opportunity Center. Providing assessments and directing clients to appropriate resources for support.
About the role
- Compliance Associate managing compliance processes at Hiive, a rapidly growing fintech startup. Overseeing regulatory adherence and improving internal compliance protocols.
Responsibilities
- 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.
Requirements
- 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.
- Preferred Skills: 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.
Benefits
- 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.
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