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Restricted Securities Administrator

2 months ago

Vancouver, British Columbia, Canada Haywood Securities Inc. Full time
About the Role

Haywood Securities Inc. is seeking a highly skilled and detail-oriented Restricted Securities Administrator to join its Vancouver Compliance Department.

This is a permanent full-time position that requires a strong commitment to providing exceptional customer service, attention to detail, and a willingness to take on new responsibilities and challenges as they arise.

Key Responsibilities
  • Clearance and Legend Removal: Follow established workflows and controls in the clearance of US legends, ensuring timely and accurate processing.
  • Documentation and Record Management: Gather and maintain documentary evidence, including DRS statements and physical certificates, for review and approval status.
  • Representation Letters and Issuer Communication: Gather representation letters from issuers, transfer agents, or legal counsel to facilitate the removal of US legends.
  • Security Re-Sales Conditions: Monitor and manage security re-sales conditions, ensuring compliance with regulatory requirements.
  • Corporate Actions and Account Transfers: Engage with the Corporate Actions department to process certificate positions that have undergone a Mandatory Re-Organisation, and work with the Account Transfers department to apply pre-approval and review processes for transfer-in requests.
  • Risk Management and Reporting: Report to the Restricted Securities Manager or CCO on identified risk elements, ensuring timely and accurate reporting.
Requirements
  • Experience: Minimum 3 years of brokerage industry experience, with a strong understanding of US securities clearance and legend removal processes.
  • Skills: Proficiency in Microsoft Office applications, including ADP Broadridge (Dataphile), and exceptional ability to prioritize and handle multiple assignments and deadlines.
  • Education: Bachelor's degree in a related field, such as finance or business administration.
Why Haywood Securities Inc.

Haywood Securities Inc. is a leading investment firm that values its independence and entrepreneurial spirit. We offer a challenging and dynamic work environment, with opportunities for professional and personal growth.

We are committed to supporting our employees in meeting their full potential, with competitive salaries, benefits, and opportunities for development.