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 Manager, Trade Supervision & Surveillance to join its team. Reporting to the Vice President of Compliance and the Manager 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:
- Lead the execution and oversite of an effective trade supervision & surveillance controls, monitoring and testing programs (including but not limited to best execution, ETR), as assigned
- Prepare and report to various internal oversight committees on risk management controls and escalation, on an regular and ad-hoc basis, as assigned
- Manage and supervise the activities of a team of compliance professionals (including management and delegation of matrix task), lead staff performance including conducting meaningful performance appraisals
- Support the VP, Compliance in the development and implementation of compliance programs in response to regulatory changes
- Performance of supervisory duties (as delegated, e.g., PositionWatch trade surveillance) in accordance with firm procedures and regulatory policies, including completing internal compliance reviews (e.g., quarterly matrix audit) and managing the engagement with external audits
- Investigate and resolve trade investigation issues, complex problem analysis, including escalating potential regulatory violations to the VP or the CCO
- Design and deliver training for employees on UMIR requirements, marketplace compliance and regulatory developments
- Monitor regulatory changes, industry developments, and emerging risks related to dealer compliance
- Liaise with Sales staff, other departmental Managers, and 3rd party vendors in a professional manner, to support process improvement within your areas of responsibility
Requirements:
- Proficiency to be registered as a CIRO Supervisor, required
- Minimum of 5 to 7 years of industry experience with some experience on the regulatory/compliance side of the business
- Experience with trading systems (e.g., Fidessa, Iress) and trading functions from a securities dealer perspective
- Completion of the CSI Partner, Director & Senior Officers course and the Chief Compliance Officer course is a benefit
- Ability to manage a number of staff performing a variety of job functions
- Strong and effective communication skills; ability to effectively interact with a variety of personality types
- Ability to maintain a high level of cognitive awareness of his/her surroundings in a fast paced/multi-task environment
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 or Toronto
Compensation: The expected salary range for this role is $90,000 to $140,000
NOC Code: 10010 – Financial Managers
Vacancy: This is a new position
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.
