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.
 

Trade Supervision Officer

Mar 19, 2021
Department: Compliance
Location: Vancouver
DatePosted: Mar 19, 2021
Job Details:

 

Haywood is currently recruiting for a Trade Supervision 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: 

 

  • Front-line contact for trade and sales staff regarding related inquiries or problems.
  • Review and reconciliation of trading errors and/or trade blotter outages.
  • Regular and active monitoring of the Firm’s daily trade activity for errors or regulatory concerns.
  • Assist the Senior Trade Supervisor with maintenance of the Firm’s trading infrastructure, including liaising with outside vendors regarding inquiries or concerns, as required.
  • Review and analysis of trade activity reports in accordance with UMIR and identification of items requiring escalation to Senior Trade Supervisor and/or the V.P. of Compliance.
  • Review of client accounts for trading eligibility and liaising with trade and sales staff to promptly rectify deficiencies as they arise.
  • Assist the Senior Trade Supervisor and CCO with regular, comprehensive internal auditing of trade execution in accordance with UMIR.
  • Ensure record maintenance of reviews conducted and actions taken.
  • Support to Senior Trade Supervisor, V.P. of Compliance and/or CCO as required on trade desk initiatives or projects.

Job Requirements:

Requirements:

 

  • Minimum of 3 years industry experience; Compliance or Trade Desk Supervision is a major asset.
  • Working knowledge of applicable UMIR, IIROC, FINTRAC and Securities Act requirements.
  • CSC and CPH course completion required; completion of Traders Training Course and other IIROC supervisory/governance courses an asset.
  • Must be able to work well in a team environment and have strong, effective communication skills.
  • Excellent organizational and time-management skills, and ability to exercise sound, informed judgement during time sensitive issues.
  • Strong attention to detail and ability to multi-task and adapt in a fast-paced environment.
  • 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 careers@haywood.com 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.