Compliance Officer

5 days ago

Vancouver, Canada Haywood Securities Inc. Full time

**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**

**Responsibilities include**:

- Performance of daily and monthly account and trade supervision for compliance with regulatory requirements.
- Conduct ad hoc and time-sensitive assessments and investigations into trade or account-related concerns at the direction of or in conjunction with the Manager of Compliance or VP of Compliance.
- Review and approval of new and updated client accounts, including individual, entity, and institutional accounts.
- Identify, review, and assess potential trade and account concerns to determine if circumstances warrant further action, ie: escalation to Manager of Compliance or VP of Compliance.
- Field internal broker and departmental compliance inquiries, provide direction or guidance as necessary, or escalate query to Manager of Compliance or VP of Compliance.
- Provide administrative support to Manager of Compliance, VP of Compliance, or CCO, as required.

**Requirements**:

- 5 years of industry experience or relevant training preferred.
- Working knowledge of applicable UMIR, CIRO, Securities Act requirements.
- Completion of the Canadian Securities Course, the Conduct and Practices Handbook, and the Investment Dealer Supervisor’s Course (or its prior iterations) is required.
- Must possess excellent organizational and time management skills, and a strong attention to detail to ensure responses to regulatory requests are completed accurately and comprehensively.
- Must be able to work well in a collaborative team environment, and have clear, effective communication skills.
- Must be able to multi-task and exercise sound, informed judgement during time sensitive issues.
- Familiarity with the Microsoft Office suite of products; familiarity with vendor systems (Broadridge Dataphile, Thomson One, Fidessa) an asset.

**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 in office

**Compensation**: $75,000 to $95,000

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

**NOC Code**:11109 - Other Financial Officers

  • Compliance Officer

    6 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 45,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    6 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 50,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Haywood Securities Inc. Full time

    **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...

  • Compliance Officer

    2 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **Compliance Officer** - 2403305 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Compliance Officer

    2 months ago

    Vancouver, Canada Eminence Talent Group Full time

    About the Company: Join a cutting-edge digital finance company at the forefront of the cryptocurrency exchange market. Our client is revolutionizing the industry by leveraging advanced blockchain technology to provide secure, efficient, and seamless trading experiences. As part of their ambitious growth strategy, they are seeking a detail-oriented Compliance...

  • Compliance Officer

    6 months ago

    Vancouver, Canada Vault Credit Corporation Full time

    **Who we are** Vault is a non-bank private lending company offering a wide array of financial services such as mortgage, equipment leasing and lending products. Vault has a devoted team of experts with years of experience in both financial services and real estate. We deliver products and services that meet our borrowers' diverse needs quicker and easier...

  • Compliance Officer

    2 months ago

    North Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    beBee Professionals in North Vancouver is seeking a Compliance Officer to maintain accurate financial records, handle accounts payable and receivable, and ensure the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers, invoices, and statements.Reconcile bank statements and monitor cash...

  • Compliance Officer

    2 months ago

    West Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in West Vancouver. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance & Privacy Officer

    3 months ago

    Vancouver, Canada Praxis Institute Full time

    Praxis Spinal Cord Institute is a Canadian-based not-for-profit organization that leads global collaboration in spinal cord injury research, innovation and care. We advance ground-breaking ideas that can be put into practice, making lives better. We actively engage people with spinal cord injury and other world-class experts to work together to identify and...

  • Chief Compliance Officer

    2 months ago

    Vancouver, Canada Enoch Wealth Inc. Full time

    **Reporting To**: CEO **Summary**: Enoch Wealth is an Exempt Market Dealer registered with the BC, AB, and ON Securities Commission. Founded in 2015, our team has extensive knowledge and experience in identifying and accessing a diverse range of investment opportunities across North America. With extensive experience and knowledge covering various fields...

  • Aml Compliance Officer

    2 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **AML Compliance Officer** - 2403384 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Compliance Officer for Wealth Management

    3 weeks ago

    Vancouver, British Columbia, Canada ZLC WEALTH INC. Full time

    At ZLC WEALTH INC., we are seeking a highly skilled Compliance Officer to join our team. This role will report to the President and support all aspects of the Compliance Division.Key Responsibilities:Regulatory Compliance: Review and maintain compliance regulations, update policies and procedure manuals, and investigate client concerns.New Account...

  • Chief Compliance Officer

    6 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Chief Compliance Officer

    7 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Sustainability and Compliance Officer

    3 weeks ago

    Vancouver, British Columbia, Canada Fuze HR Solutions Full time

    About the RoleAt Fuze HR Solutions, we are seeking an experienced Sustainability and Compliance Officer to join our Western region team. This role is a strategic ally for us, driving the execution and support of our health and safety program.About YouWe offer regular business hours, Monday to Friday, career development and training opportunities, life...

  • Chief Tax Compliance Officer

    3 weeks ago

    Vancouver, British Columbia, Canada Semios Full time

    We are a pioneering force in agriculture, harnessing the power of technology to drive sustainability and profitability.Semios is a market leader in leveraging IoT and big data analytics to empower tree fruit and nut growers with decision-making tools. Our innovative approach has received several industry awards, including the AgTech Breakthrough Awards...

  • AML Compliance Officer

    2 weeks ago

    Vancouver, Canada Disability Solutions Full time

    At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.Raymond James Ltd. is Canada's leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. AML Compliance OfficerHow does the role impact the organization?...

  • Account Maintenance and Compliance Officer

    6 days ago

    Vancouver, British Columbia, Canada Disability Solutions Full time

    Job SummaryAs an Account Maintenance and Compliance Officer at Disability Solutions, you will play a vital role in maintaining accurate client profile information and ensuring compliance with regulatory requirements. This is a dynamic opportunity for someone who enjoys working in a fast-paced environment and is passionate about delivering excellent client...

  • Compliance Analyst

    6 months ago

    Vancouver, Canada Connor, Clark & Lunn Financial Group Full time

    **Compliance Analyst** **Connor, **Clark & Lunn Investment Management Ltd.** **Vancouver, BC** We are looking for a Compliance Analyst to join our growing Compliance Team at Connor, Clark & Lunn Investment Management. Compliance plays a critical role in our firm and in this position, you will have the opportunity to work with our Chief Compliance Officer,...

  • Aml Compliance Officer, Rjlu

    6 months ago

    Vancouver, Canada Raymond James Financial Full time

    **AML Compliance Officer, RJLU** - 2302725 - At Raymond James,_ _**_we_**_ _**_develop,_ _**_we_**_ _**_collaborate,_ _**_we_**_ _**_decide,_ _**_we_**_ _**_deliver, and_ _**_we_**_ _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking...