Manager, Trade Supervision & Surveillance

HAYWOOD SECURITIES•Toronto, ON

25d•Hybrid

About The Position

Haywood is currently recruiting a Manager, Trade Supervision & Surveillance to join its team. Reporting to the Vice President of Compliance and the Manager of Compliance, the successful candidate will be able to demonstrate their commitment to providing exceptional client service, attention to detail and a willingness to take on new responsibilities and challenges as they arise.

Requirements

Proficiency to be registered as a CIRO Supervisor, required
Minimum of 5 to 7 years of industry experience with some experience on the regulatory/compliance side of the business
Experience with trading systems (e.g., Fidessa, Iress) and trading functions from a securities dealer perspective
Ability to manage a number of staff performing a variety of job functions
Strong and effective communication skills; ability to effectively interact with a variety of personality types
Ability to maintain a high level of cognitive awareness of his/her surroundings in a fast paced/multi-task environment

Nice To Haves

Completion of the CSI Partner, Director & Senior Officers course and the Chief Compliance Officer course is a benefit

Responsibilities

Lead the execution and oversite of an effective trade supervision & surveillance controls, monitoring and testing programs (including but not limited to best execution, ETR), as assigned
Prepare and report to various internal oversight committees on risk management controls and escalation, on an regular and ad-hoc basis, as assigned
Manage and supervise the activities of a team of compliance professionals (including management and delegation of matrix task), lead staff performance including conducting meaningful performance appraisals
Support the VP, Compliance in the development and implementation of compliance programs in response to regulatory changes
Performance of supervisory duties (as delegated, e.g., PositionWatch trade surveillance) in accordance with firm procedures and regulatory policies, including completing internal compliance reviews (e.g., quarterly matrix audit) and managing the engagement with external audits
Investigate and resolve trade investigation issues, complex problem analysis, including escalating potential regulatory violations to the VP or the CCO
Design and deliver training for employees on UMIR requirements, marketplace compliance and regulatory developments
Monitor regulatory changes, industry developments, and emerging risks related to dealer compliance
Liaise with Sales staff, other departmental Managers, and 3rd party vendors in a professional manner, to support process improvement within your areas of responsibility