Compliance Officer

About Haywood

Haywood Securities is an investment firm that values its independence and its entrepreneurial spirit. Our analysts and advisors seek proven management in young companies that are built around fresh ideas with the potential for rapid growth in the energy, mining, technology and special situation sectors. Haywood offers these investment opportunities to a select group of qualified investors in both the institutional and retail markets.

At Haywood, we foster long-term relationships with the companies we support through our often multiple financings in the capital markets and our ongoing advisory services. Our goal is not only to ensure the success of the venture, but also to build enduring value for our investors.

At Haywood, we continually strive to enhance our practice of providing clients with ideas and investments that are well-founded and profitable. Our greatest strength lies in our skilled and dedicated employees who are supported by a work environment that promotes creativity and performance.

About the position

Haywood is currently recruiting a Compliance Officer to join its team. Reporting to the Vice President of Compliance, the successful candidate will be able to demonstrate their commitment to providing exceptional client service, attention to detail and a willingness to take on new responsibilities and challenges as they arise.

Responsibilities include:

• Review and approval of new and updated client accounts, including individual, entity, and institutional accounts.
• Performance of daily and monthly account and trade supervision for compliance with regulatory requirements.
• Conduct ad hoc and time-sensitive assessments and investigations into trade or account-related concerns at the direction of, or in conjunction with, the Manager of Compliance or VP of Compliance.
• Identify, review, and assess potential trade and account concerns to determine if circumstances warrant further action, ie: escalation to Manager of Compliance or VP of Compliance.
• Field internal broker and departmental compliance inquiries, provide direction or guidance as necessary, or escalate query to Manager of Compliance or VP of Compliance.
• Provide administrative support to Manager of Compliance, VP of Compliance, or CCO, as required.

Requirements:

• 5 years of industry experience or relevant training preferred.
• Working knowledge of applicable UMIR, CIRO, Securities Act requirements.
• Completion of the Canadian Securities Course, the Conduct and Practices Handbook, and the Investment Dealer Supervisor’s Course (or its prior iterations) is required.
• Must possess excellent organizational and time management skills, and a strong attention to detail to ensure responses to regulatory requests are completed accurately and comprehensively.
• Must be able to work well in a collaborative team environment, and have clear, effective communication skills.
• Must be able to multi-task and exercise sound, informed judgement during time sensitive issues.
• Familiarity with the Microsoft Office suite of products; familiarity with vendor systems (Broadridge Dataphile, Thomson One, Fidessa) an asset.

Why Haywood

Haywood understands that its greatest strength lies in our skilled and dedicated employees. Whether you are just starting out in the work force or beginning a new career path, Haywood offers a challenging environment well-suited to those with an entrepreneurial spirit.

Haywood believes in supporting its employees to enable them to meet their full potential. We offer competitive salaries as well as opportunities for professional and personal development. We also offer a full suite of competitive benefits which includes extended health, dental, long-term disability, life insurance and accidental death and dismemberment coverage.

Job Details

Status: Permanent full-time

Location: Vancouver

Compensation: $73,000 to $95,000

NOC Code: 11109 - Other Financial Officers

Please note, to be considered for employment at Haywood, candidates will need to provide proof of eligibility to work in Canada.  We would like to thank all candidates for their interest in this position, however only qualified candidates will be contacted. No phone calls will be accepted.