Trade Supervision Officer

Haywood-Securitie; Vancouver; On-site; CAD 61,000 - 75,000; Full time

Benefits offered by this job

Extended health

Dental

Long-term disability

Life insurance

AD&D coverage

Job summary

Haywood Securities is a BC-based investment firm seeking a Trade Supervision Officer to support trade desk operations and compliance. You will monitor daily trading activity, review errors, and liaise with trade staff to rectify issues while supporting the firm’s trading infrastructure and regulatory compliance initiatives.

The role requires 1–2 years in trading/compliance with knowledge of UMIR/CIRO/FINTRAC and related acts, plus familiarity with Dataphile and Fidessa and strong Excel skills.

Qualifications

• 1–2 years of industry experience; compliance or trade desk experience is a plus.
• Knowledge of UMIR, CIRO, FINTRAC and Securities Act requirements.
• Completion of Traders Training Course, Canadian Securities Course, and Conduct and Practices Handbook completion is an asset.
• Familiarity with vendor systems Dataphile and Fidessa; intermediate Excel skills.

Responsibilities

• Front-line contact for trade and sales staff regarding trading inquiries.
• Regular monitoring of daily trade activity for errors or regulatory concerns.
• Review and reconciliation of trading errors.
• Review of client accounts for trading eligibility; liaising with trade and sales staff to rectify deficiencies as required.
• Assist the Manager of Trade Supervision with maintenance of the firm’s trading infrastructure.
• Support the Manager of Trade Supervision, Manager of Compliance, or VP, Compliance with trade desk initiatives, as required.

Skills

Time management

Organizational skills

Attention to detail

Judgement

Multi-tasking

Education

Traders Training Course

Canadian Securities Course

Conduct and Practices Handbook

Tools

Dataphile

Fidessa

Excel

Job description

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 Trade Supervision Officer to join its team. Reporting to the Manager of Trade Supervision & Surveillance, 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 trading inquiries.
• Regular monitoring of daily trade activity for errors or regulatory concerns.
• Review and reconciliation of trading errors.
• Review of client accounts for trading eligibility; liaising with trade and sales staff to promptly rectify deficiencies as required.
• Assist the Manager of Trade Supervision with maintenance of the firm’s trading infrastructure, as required.
• Support the Manager of Trade Supervision, Manager of Compliance, or VP, Compliance with trade desk initiatives, as required.

Requirements:

Education and Qualifications

• 1-2 years of industry experience (Compliance or Trade Desk experience is an asset).
• Working knowledge of UMIR, CIRO, FINTRAC and Securities Act requirements.
• Completion of Traders Training Course, Canadian Securities Course, and Conduct and Practices Handbook completion is an asset.
• Familiarity with vendor systems (Dataphile, Fidessa) and intermediate Excel skills.

Key Skills and Attributes

• Excellent organizational and time-management skills.
• Ability to exercise sound, informed judgement during time sensitive issues.
• Strong attention to detail and ability to multi-task in a fast-paced 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.

Status: Permanent full-time

Compensation: the expected salary range for this role is: $61,000 to $75,000 depending on experience and qualifications.

Schedule: A start time of 6:30 am PCT, Monday to Friday

NOC Code: 11109 – Other financial officer

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.