Compliance Analyst supporting BeyondTrust’s cybersecurity SaaS compliance and vendor risk programs. Coordinating evidence, questionnaires, audits, policies, and cross - functional security projects.
About the role
- Compliance Associate supporting Clarity’s private-market liquidity platform. Managing transaction monitoring, regulatory filings, representative oversight, and US/Canadian compliance infrastructure.
Responsibilities
- Conduct daily transaction monitoring reviews, flagging and escalating potential exceptions
- Manage registered representative oversight, including registrations, exams, electronic correspondence surveillance, and conflict-of-interest tracking
- Test and modify policies and procedures for compliance with applicable securities laws and regulations
- Maintain internal compliance resources and prepare compliance-related guidance
- Prepare regulatory reporting and filings
- Monitor and implement developments in the compliance and regulatory landscape, including private securities and information security/privacy issues
- Develop and deliver compliance training
- Support regulatory exams, including document production and regulatory correspondence
- Report to the Chief Compliance Officer
- Scale and maintain compliance and regulatory infrastructure in the United States and Canada
- Foster a culture of compliance throughout the company
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
- Interest in creative problem solving, including researching novel and ambiguous regulatory requirements
- Desire to work on an agile team providing pragmatic advice and guidance to product, business, and operations teams
- Track record of sound judgment and composure in high-pressure situations
- Preferred: Experience in a dual-registered broker-dealer and investment adviser or cross-border US/Canadian compliance environment
- Preferred: FINRA Series 7 and 24
- Preferred: Familiarity with FINRA rules and US securities laws
- Preferred: Exposure to private investments and/or structuring alternative products
- Must be based in the Greater Vancouver area or open to relocating, and able to commit to being in the office 5 days a week
- Legal authorization to work in Canada or the US
Benefits
- Employee stock option plan
- Comprehensive 100% employer-paid health and dental premiums for Canadian employees
- Health/Personal Spending Account for Canadian employees
- Employer-subsidized benefits program for US-based team members
- Dedicated desk at the Vancouver HQ
- Healthy snacks and drinks
- Onsite gym
- Rooftop amenity
- $20-per-day commuter benefit for Vancouver-based employees working in the downtown HQ
- Bi-weekly catered lunches
- Bi-weekly Friday bar
- Team workouts
- Annual summer party
- Holiday party
- Two onsite all-team retreats each year
- Semi-annual team-building events
- Clarity Women’s Network events
- Opportunities for growth into team leadership and management roles
- Entrepreneurial culture and a small, dynamic team
- Sponsorship, immigration, and relocation for exceptional candidates
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