Director, Compliance
Hiive
full-time
Posted on:
Location Type: Office
Location: Vancouver • Canada
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Salary
💰 CA$150,000 - CA$225,000 per year
Job Level
About the role
- Create and implement an adviser compliance program, expanding from an exempt reporting adviser’s requirements.
- Enhance and oversee the funds’ due diligence process.
- Support all aspects of the funds business, including fund structuring and review of documentation, including limited partnership/limited liability company agreements, private placement memoranda, subscription agreements, and side letters.
- Assist in development and implementation of operational infrastructure to support operation of funds through their lifecycle.
- Provide strategic compliance support for Hiive’s funds team.
- Work collaboratively with colleagues and stakeholders across multiple departments to facilitate strategic initiatives related to Hiive’s funds business.
- Broker-dealer compliance program support, particularly for placement agent activities.
Requirements
- 8+ years of relevant compliance experience, at an RIA, BD, or both.
- Strong familiarity with the Investment Advisers Act of 1940.
- Exposure to work on private funds.
- 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.
- Series 7 and 24.
- Strong familiarity with the Investment Company Act of 1940 and registered funds.
- 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.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance program developmentdue diligence processfund structuringdocumentation reviewoperational infrastructurebroker-dealer complianceprivate fundsalternative productsregulatory researchproblem solving
Soft Skills
collaborationstrategic thinkingsound judgmentcomposure under pressurepragmatic advicecreative problem solvingcommunicationteamworkinitiativeadaptability
Certifications
Series 7Series 24