Chief Compliance Officer

3 weeks ago

Vancouver, Canada The Hiive Company Limited Full time

Hiive is looking for an ambitious and dynamic **Chief Compliance Officer & US Securities Counsel** to work with our general counsel and Capital Markets teams to oversee and lead all aspects of our FINRA/SEC compliance program, and advise our business on matters related to US securities law, and in particular relating to the trading of unregistered securities and operation of an SEC-regulated alternative trading system.

Hiive is a fintech startup, backed by seasoned professionals with decades of experience in private equity and capital markets. The company has built a revolutionary marketplace product for buyers and sellers of shares in private late-stage venture-capital backed companies and “Unicorns,” bringing a rational, beautiful and modern technological interface to a messy and traditional market.

In this role, you would be a foundational part of our regulatory and operations leadership team, reporting to the COO/General Counsel, and working with us to achieve compliance excellence and exemplary risk management while supporting the smooth and efficient operation of our marketplace business.

This is the perfect role for a lawyer with an entrepreneurial mindset, incredible attention to detail, and a passion for learning and growing, who wants to get out of a firm or large company and move into a dynamic, fast-paced startup environment.

**Key Responsibilities & Challenges**:

- Advise the business on a wide range of complex US securities and compliance-related matters, and support the GC with all corporate matters, including transactions, employee equity plans, strategic investment and corporate governance.
- Act as the broker-dealer’s Chief Compliance Officer.
- Maintain contact with key regulators in Canada and the US (FINRA, SEC) and be the key point of contact for all inquiries.
- Manage all broker-dealer compliance and alternative trading system (ATS) obligations, including reviewing and updating policies and procedures, overseeing the monitoring program, making regular filings, directing all continuing education efforts and advising on the implementation of processes and procedures to support compliance objectives.
- Identify new or evolving regulator requirements or risks impacting the broker-dealer and ATS, and provide advice to the business regarding implementation of new processes and solutions.
- Oversee all of the broker-dealer’s registration processes.
- Prepare quarterly and annual compliance and supervisory reports, as required.
- Take initiative on and plan compliance-related projects.
- Assist with reviewing and drafting template agreements governing the operation of the marketplace.

**Requirements**:

- JD or LLB, and licence to practice law in at least one state.
- 4+ years of relevant legal experience, at a top US law firm or corporate in-house setting.
- Experience advising fintech companies or financial institutions, such as investment banks, private funds, exchanges or trading platforms, or broker dealers/intermediaries on matters involving market regulation, compliance and enforcement.
- Resourcefulness and the ability to solve difficult problems.
- Ability to communicate priorities and deadlines with internal and external stakeholders, and build constructive high-trust relationships across teams and functions.
- A track record of sound judgement and composure in high-pressure situations.

**Nice to have**:

- Experience in a tech start-up, high growth company, or private equity or venture capital fund.
- FINRA Series 14, 6, 63, and/or 24.
- Experience in a CCO or compliance function.
- Experience dealing with a relevant regulator (FINRA, SEC, OSC).

**Compensation & Perks**:

- Competitive salary, commensurate with experience and contribution.
- Comprehensive 100% employer-paid health and dental benefits, and a health spending account.
- A dedicated seat at our HQ in the Mt. Pleasant neighbourhood of Vancouver, BC with a first-class view of the mountains.
- Opportunity to participate in the ownership of a seed-stage startup through our employee stock option plan.
- Entrepreneurial culture, and small and dynamic team.
- Significant opportunities for growth and development within the company.

  • Chief Compliance Officer

    4 weeks ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Chief Financial Officer

    2 days ago

    Vancouver, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development Corporation A small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    2 days ago

    Vancouver, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    2 days ago

    vancouver, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    3 days ago

    Vancouver, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Information Officer

    4 weeks ago

    Vancouver, Canada Legal Aid BC Full time

    **Location**: Vancouver, BC **Status**:Full-time Permanent **Affiliation**: Excluded-Management **Salary range **$134,207 to $179,999 **Competition #**:M087-23 **Application Deadline**:April 1, 2024 **VALUES STATEMENT**: Our commitment to the principles of fundamental justice embedded in the Charter of Rights and Freedoms, and to Truth and...

  • Chief Financial Officer

    2 days ago

    Vancouver, BC, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development Corporation A small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    2 days ago

    Vancouver, BC, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    2 days ago

    Vancouver, BC, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Financial Officer

    3 days ago

    Vancouver, British Columbia, British Columbia, Canada Indigenous Economic Development Corporation Full time

    Chief Financial Officer for an Indigenous-owned Economic Development CorporationA small Indigenous-owned economic development corporation on the Northwest Coast seeks a Chief Financial Officer (CFO). The CFO has a vital role in working alongside and supporting the Chief Executive Officer (CEO). Plus, managing the finances, providing financial expertise,...

  • Chief Legal Officer

    1 month ago

    Vancouver, Canada Canucks Full time

    CANUCKS SPORTS & ENTERTAINMENT **Position**: Chief Legal Officer **Department**: Legal **Reports to**: President, CSE Business Operations **SUMMARY**: Reporting to the President, Business Operations of Canucks Sports & Entertainment (CSE), the Chief Legal Officer (CLO) is responsible for overseeing the strategic, proactive, efficient and effective...

  • Chief Legal Officer

    7 days ago

    Vancouver, Canada Canucks Sports & Entertainment Full time

    **CANUCKS SPORTS & ENTERTAINMENT** **Position**: Chief Legal Officer **Department**: Legal **Reports to**:President, CSE Business Operations **SUMMARY**: Reporting to the President, Business Operations of Canucks Sports & Entertainment (CSE), the Chief Legal Officer (CLO) is responsible for overseeing the strategic, proactive, efficient and effective...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...

  • Battalion Chief

    4 weeks ago

    Vancouver, Canada Vancouver Airport Authority Full time

    YVR is a place of connection, bringing together people, places, and cargo while ensuring a safe and efficient experience for everyone. YVR Fire & Rescue is a value and integrity-based department with a strong culture of diversity, inclusion, and belonging that enables the team to deliver on our Mission, of being dedicated to protecting and educating our...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...

  • Chief Technology Officer

    4 weeks ago

    Vancouver, Canada Stantec Full time

    Chief Technology Officer - ( 230000N8 ) **Description** Grow with the best. Join a smart, innovative, and inspired team that strives for thought leadership, growth, technical and operational excellence. Bringing together individuals with diverse backgrounds, talents, and expertise, our 26,000 team members in over 400 locations worldwide are vital to making...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...

  • Chief Operating Officer

    2 weeks ago

    Vancouver, Canada RESERVE WINTER Full time

    Company Description SNOWGROUP is a unique online winter resort travel company that houses three distinctive brands: ReserveWinter.com, SnowClub, and Snowbus.com. Each brand offers unique products and services which are created and managed directly by the local businesses at each resort. ReserveWinter.com and Snowbus.com function as a niche market OTA,...