Job Description
Join Haywood Securities as a Compliance Officer and contribute to ensuring compliance across client accounts. Focus on delivering exceptional client service in a thriving investment environment.
Reporting to the Vice President of Compliance, this full-time role requires a commitment to attention to detail and effective communication. Key responsibilities include reviewing client accounts, supervising trades for compliance, and conducting thorough assessments of trade concerns. Your proactive involvement will support Haywood’s mission of building lasting value for investors.
Key Responsibilities: • Review and approve client accounts for regulatory compliance • Perform daily trading supervision and compliance monitoring • Conduct timely assessments of trade concerns • Field inquiries and provide compliance-related guidance • Support administrative tasks for the compliance team
Requirements: • At least 5 years of industry experience required • Familiarity with U...
Reporting to the Vice President of Compliance, this full-time role requires a commitment to attention to detail and effective communication. Key responsibilities include reviewing client accounts, supervising trades for compliance, and conducting thorough assessments of trade concerns. Your proactive involvement will support Haywood’s mission of building lasting value for investors.
Key Responsibilities: • Review and approve client accounts for regulatory compliance • Perform daily trading supervision and compliance monitoring • Conduct timely assessments of trade concerns • Field inquiries and provide compliance-related guidance • Support administrative tasks for the compliance team
Requirements: • At least 5 years of industry experience required • Familiarity with U...
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