CanadaCompliance Associate
2 нед. назад
100k–130k USD / yearCanadaWorldwideOnsite
transaction monitoringregulatory filingsaml
Work with Chief Compliance Officer managing compliance tasks like transaction monitoring, regulatory filings, and policy maintenance for regulated financial entities.
Обязанности
- 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 FINTRAC requirements.
- Helping administer Greenboard (the firm's compliance workflow platform) for advertising review, OBA disclosures, and attestations.
Будет плюсом
- Experience in a dual-registered (broker-dealer and investment adviser) or cross-border (US/Canadian) compliance environment.
- Familiarity with private securities, alternative trading systems, or pre-IPO markets.
- FINRA Series 7 or other securities registration.
- Experience with CIRO rules or BCSC regulatory requirements.
Условия
- Highly competitive salary commensurate with experience and contribution.
- Opportunity to participate in ownership of a rapidly growing company through our employee stock option plan.
- Comprehensive 100% employer-paid health & dental premiums and a Health/Personal Spending Account for Canadian employees. (An employer-subsidized benefits program is available for US-based team members).
- If you are based in Vancouver, enjoy 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 Women’s 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.
- is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.
Другое
- is redefining how private companies and their shareholders access liquidity. Through its institutional-grade platform, 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, 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 ? Check out our careers page to see how you can grow with us!
- As a Compliance Associate at , you will work directly with the Chief Compliance Officer to keep two regulated entities — Markets Limited (a FINRA-registered broker-dealer) and 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.
- 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 — able to draft clear, accurate compliance documentation without extensive revision.
- Authorization to work in Canada and ability to work from Vancouver, BC.
- As part of our recruitment and hiring process, may use automated tools, including artificial intelligence (AI), to assist in screening applications, evaluating candidate qualifications, and supporting interview processes. These tools are designed to support and inform human decision-making and are not used as the sole basis for any employment decision.
- We may collect, use, and analyze personal information you provide in connection with your application, including generating insights or inferences to assess job-related qualifications. This information is used for recruitment, evaluation, and compliance purposes in accordance with applicable law.
- We take reasonable steps to evaluate and monitor our hiring tools and practices to promote fairness, consistency, and non-discrimination. Where required by applicable law - including in Ontario, Quebec, New York City, Illinois, and California - we conduct or rely on assessments such as bias audits, honor rights related to automated decision-making, and provide additional disclosures on request.
- Depending on your location, you may have certain rights with respect to your personal information and the use of automated processing, including the right to request access to, correction of, or deletion of your information, or to receive additional information about our data practices. We honor such rights where required by applicable law.
- For accommodation requests or questions about this notice, contact careers@.com.