Trading Compliance & Trade Surveillance 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 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.