Career Opportunities

thumb_08We invite qualified, motivated and dynamic individuals to submit their resume and cover letter, including salary expectation.

Please note that all applications, solicited or unsolicited, will be kept on file for twelve months after which they will be destroyed. All applications will be held in strict confidence.

We would like to thank all applicants for their interest in Haywood, however, only qualified candidates accepted for an interview will be contacted. No telephone calls will be accepted.

Intermediate Compliance Officer

Jan 14, 2021
Department: Compliance
Location: Vancouver
DatePosted: Jan 14, 2021
Job Details:

Haywood is currently recruiting for an Intermediate 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.


Responsibilities include: 


  • 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 Manger 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.

Job Requirements:

  • 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 quoting position title in the subject line.


We would like to thank all candidates for their interest in this position however, only qualified candidates will be contacted.