Restricted Securities Administrator

Found in: Jooble CA O C2 - 2 weeks ago

Vancouver BC, Canada Haywood Securities Inc. Full time

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.

Haywood is currently recruiting for a full time Restricted Securities Administrator to join its Vancouver Compliance Department. To be successful in this role, candidates must 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

  • Follow established workflows and controls in the clearance of US legends.
  • Gather appropriate documentation for DRS statements and/or physical certificates for review and approval status.
  • Gather appropriate representation letters with Issuer, Issuer’s transfer agent or Issuer’s legal counsel.
  • Vet physical deposits of US Securities for US re-sales restrictions.
  • Correspondence and interaction with a variety of listed issuer representatives, legal counsel, and transfer agents in the removal of DRS / certificate US legends.
  • Maintain and manage documentary evidence and record retention.
  • Monitor security re-sales conditions as required.
  • Engage with Corporate Actions department regarding certificate positions that have undergone a Mandatory Re-Organisation and process accordingly with exchanges and legend removals.
  • Engage with Account Transfers department regarding transfer-in requests and apply the necessary pre-approval and review processes prior to positions been deposited.
  • Report to Restricted Securities Manager or CCO as required on identified risk elements.

Education & Qualifications

  • Minimum 3 years of brokerage industry experience is considered an asset;
  • Proficiency with all Microsoft Office applications;
  • Proficient usage of ADP Broadridge (Dataphile) application.

Skills & Key Attributes

  • Exceptionally strong ability to prioritize and handle multiple assignments and deadlines;
  • Professional demeanor in all forms of interpersonal communication;
  • Proactive approach to job responsibilities. Flexible personality to take on new challenges as they arise and ability to excel within a team 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.

Please note to be considered for employment at Haywood Securities Inc. candidates selected for an interview will be required to show proof of citizenship, permanent residency, or eligibility to work in Canada with no restrictions. 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.

Status: Permanent full-time

Compensation: expected salary range $42,000 to $47,000

NOC Code: 14201 – Securities Clerk – Financial Sector - Banking, Insurance and Other Financial Clerks

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