Compliance Associate
Core
Ensure regulatory compliance for a dual-registered broker-dealer and investment adviser by managing transaction monitoring, regulatory filings, and supervisory testing.
Role type
Compliance Associate (Regulatory Operations)
Builds
Regulatory posture and compliance workflows for Hiive Markets Limited and Hiive Advisors Inc.
Domain
Financial Services / Securities Regulation / Alternative Trading Systems
Deliverable
Dashboards & analysis (transaction monitoring) | Client delivery (regulatory filings)
Required skills
Transaction monitoring, regulatory filings, supervisory testing, policy maintenance, AML/KYC reviews, written supervisory procedures
Preferred skills
Dual-registered compliance environment, private securities, alternative trading systems, CIRO rules, BCSC requirements
Technologies
ATS (Automated Trading System), Greenboard
Responsibilities
Conduct daily transaction monitoring reviews and flag supervisory exceptions; Prepare and submit regulatory filings (Form BD, Reg D, AML reports); Lead annual supervisory controls testing and track remediation; Draft and maintain written supervisory procedures; Support regulatory examination responses; Assist with AML/KYC reviews and customer due diligence.
Seniority
Mid-level, hands-on IC
