Compliance Associate

Clarity is redefining how private companies and their shareholders access liquidity. Through its institutional-grade platform, Clarity 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, Clarity is profitable, well-capitalized, and building a high-performance team to meet growing demand and pursue new market opportunities. As a Compliance Associate at Clarity, you will be an integral part of our compliance team, reporting to the Chief Compliance Officer. You will play a critical role in scaling and maintaining our compliance and regulatory infrastructure in the United States and Canada, fostering a culture of compliance throughout the company. Compensation: Highly competitive compensation commensurate with experience and contribution. The actual base salary, variable bonus (if applicable), and options grant will vary based on various factors, including market and individual qualifications objectively assessed during the interview process. Clarity is committed to fostering an inclusive workplace where all individuals have an opportunity to succeed.

Responsibilities

Conducting 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 designed to achieve compliance with applicable securities laws and regulations; Maintain Clarity's internal compliance resources and prepare guidance on compliance-related topics; Prepare Clarity's 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; Supporting regulatory exams, including document production and regulatory correspondence

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; 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

Nice to have

Experience in a dual-registered (broker-dealer and investment adviser) or cross-border (US/Canadian) compliance environment; FINRA Series 7 and 24; Familiarity with FINRA rules and US securities laws; Exposure to work on private investments and/or structuring alternative products

Benefits

Opportunity to participate in ownership of a rapidly growing company through employee stock option plan; Comprehensive 100% employer-paid health & dental premiums and a Health/Personal Spending Account for Canadian employees; Employer-subsidized benefits program available for US-based team members; Dedicated desk in Vancouver, BC HQ with fridge stocked with healthy snacks and drinks, onsite gym, and rooftop amenity; $20-per-day commuter benefit for Vancouver-based employees working in 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, and Clarity Women's Network events; Significant opportunities for growth into team leadership and management roles; Entrepreneurial culture and small, dynamic team; Sponsorship, immigration, and relocation for exceptional candidates