Haywood is currently recruiting for 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 customer/client service, attention to detail and a willingness to take on new responsibilities and challenges as they arise.
Performance of daily and monthly trade and account supervision for compliance with regulatory requirements;
Performance of alternative front-line compliance/supervisory tasks as directed by the Manager of Compliance and/or the V.P. of Compliance;
Identify, review and assess potential trade and account concerns to determine if circumstances warrant further action, i.e. escalation to the Manager of Compliance and/or the V.P. of Compliance;
Field internal broker and departmental compliance related inquiries, provide direction or guidance as necessary or escalate query to Manager of Compliance and/or the V.P. of Compliance;
Ensure record maintenance of reviews conducted and actions taken;
Perform trade analysis and audit reviews as prescribed by the IIROC or as directed by Senior Staff;
Various other projects and duties as required.
Working knowledge of applicable UMIR, IIROC, FINTRAC, FATCA, CRS and Securities Act requirements;
Must be able to work well in a team environment and have strong and effective communication skills;
Strong analytical ability;
Ability to conduct critical analysis, make sound, reasoned, informed judgements and assessments while in a fast paced, multi-task environment;
Excellent organizational and time-management skills, ability to prioritize;
Strong attention to detail;
Minimum of 3-years industry experience, Compliance or Trade Desk Supervision is a major asset;
CSC and CPH course completion required; completion of other IIROC supervisory/governance courses including the Traders Training Course is a definite asset;
Enhanced software knowledge (specifically Word and Excel), emphasis on advanced Excel skills;
Enhanced knowledge of vendor systems (specifically Broadridge and Fidessa).
If your background and experience is well suited to this role please submit your resume and cover letter to email@example.com quoting position title in the subject line.