Compliance Officer

at  Haywood Securities Inc

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.

Requirements:

• 1-2 years of industry experience.
• Working knowledge of applicable UMIR, CIRO, Securities Act requirements.
• Completion of Canadian Securities Course, and Conduct and Practices Handbook completion is an asset.
• 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

• Performance of daily and monthly account and trade supervision for compliance with regulatory requirements.
• Preparation of and response to production orders and requests for information from regulatory bodies.
• 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.
• Ensure record maintenance of reviews conducted and actions taken.
• Provide administrative support to Manager of Compliance, VP of Compliance, or CCO, as required.

Requirements:

• 1-2 years of industry experience.
• Working knowledge of applicable UMIR, CIRO, Securities Act requirements.
• Completion of Canadian Securities Course, and Conduct and Practices Handbook completion is an asset.
• 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.