Senior Registration Officer

Haywood Securities Inc. is seeking a Senior Registration Officer to join our team in either our Vancouver or Toronto offices. Reporting to the VP, Compliance, you will be primarily responsible for assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements. The candidate will have exposure to advisors and management at different levels.

Responsibilities

Registration

• Responsible for the timely execution and maintenance of all Firm and Staff registration requirements (CIRO, Provincial submissions and certain FINRA or State reporting requirements). Seek supervisory approval from CCO or CEO for registration filings as required.
• Timely escalation of registration related concerns to VP Compliance, the CCO or the CEO as required.
• Support the design and implementation of registration workflows and controls, and the structure and maintenance of re...