Manager of Registrations

Haywood is currently recruiting for a Manager of Registrations to join its Compliance Department. Reporting to the Vice President of Compliance and the HUSA CCO , the successful candidate will 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:

• Execution and management of the Firm’s compliance with Firm and staff registration requirements as described in applicable Canadian securities acts and IIROC rules;
• Maintain proficiency relative to regulatory registration requirements;
• Develop and maintain working level Registration Department procedures designed to ensure compliance with regulatory registration requirements and internal Firm notifications and controls;
• Maintain internal system for providing continuing education requirements, i.e. identifying and assessing continuing education (“CE”) resources, updating CE education and notices on Firm Intranet page, provide guidance to Firm registrants regarding CE requirements, maintain internal designed CE processes and controls;
• Maintain and execute system for the reporting of CE completion to the IIROC;
• Tracking of CE credit completion and internally imposed educational requirements - escalation to CCO or V.P. of Compliance as required;
• Maintain internal control system for the tracking of registration related regulatory fees and ensure conduct of such payments as required;
• Act as Firm liaison with regulatory agencies or industry agencies regarding registration related policy or rule developments;
• Maintenance of all books and records regarding Firm and/or Staff registrations ensuring data integrity;
• Conduct of internal initiatives as assigned by the CCO or V.P. of Compliance;
• Acts as a liaison between financial advisors, senior management and regulators;
• Works independently and exercises judgement to identify, diagnose, and solve problems within given rules;
• Provide guidance and expertise to multiple internal areas, trainees and registrants on registration related matters;
• Skilled knowledge of regulatory/compliance requirements;
• Conduct thorough & detailed review of submissions by individuals applying for securities registration;
• Consult various resources for information, conduct relevant research and provide resolutions for any outstanding registration issues and deficiencies;
• Maintain accurate data on multiple internal and external systems.

Haywood Securities (USA) Inc. (HUSA)

• Execution and management of the Firm’s compliance with Firm and staff registration requirements as described in applicable FINRA, SEC & state requirements;
• Maintain proficiency relative to U.S. regulatory registration requirements;
• Develop and maintain working level Registration Department procedures designed to ensure compliance with U.S. regulatory registration requirements and internal Firm notifications and controls;
• Delivery of internal or external systems for providing FINRA rule firm element CE resources, i.e. assist CCO in identifying and assessing Firm element CE systems & resources, updating Firm element CE education, provide guidance to Firm registrants regarding Firm element CE requirements;
• Maintain system to ensure registrant completion of FINRA rule regulatory element CE requirements;
• Will be the Firm’s Super Account Administrator in administrating staff access to the FINRA entitlement reporting system;
• Maintain internal control system for the tracking of SEC, FINRA and state registration related regulatory fees and ensure conduct of such payments as required;
• Act as Firm liaison with SEC, FINRA or state regulatory agencies or industry agencies regarding registration issues, policy or rule developments;
• Maintenance of all books and records regarding Firm or Staff registrations;
• Conduct of internal initiatives as assigned by the HUSA CCO or Sr. Manager;
• Acts as a liaison between financial advisors, senior management and regulators;
• Works independently and exercises judgement to identify, diagnose, and solve problems within given rules;
• Provide guidance and expertise to multiple internal areas, trainees and registrants on registration related matters;
• Skilled knowledge of regulatory/compliance requirements;
• Conduct thorough & detailed review of submissions by individuals applying for securities registration;
• Consult various resources for information, conduct relevant research and provide resolutions for any outstanding registration issues and deficiencies;
• Maintain accurate data on multiple internal and external systems.

• Minimum 3 years’ experience in the financial services industry, or experience interpreting and applying rules and regulations;
• Strong working knowledge of relevant securities registration rules and an overall understanding of the industry;
• Proficient on National Registration Database (NRD) an asset;
• Strong analytical, organizational and problem solving skills;
• Extremely detail oriented;
• Ability to work both independently with a minimal amount of supervision as well as in a team environment;
• Able to deal with sensitive and confidential matters with discretion;
• Good verbal and written communication skills;
• Excellent organizational and time-management skills;
• Strong attention to detail and ability to prioritize tasks;
• CSC and CPH course completion an asset;
• Enhanced software knowledge (specifically word and excel)

COVID-19 considerations:
Please note all employees are required to be fully immunized against COVID-19 and show proof of immunization to Human Resources prior to start of employment. Masks are mandatory in all common spaces and in all offices while not seated at a designated desk