At PEAK, we value a culture based on trust and strive to maintain a collaborative environment and a family-like atmosphere among our employees. We offer a fast-paced environment with stimulating work to challenge you and help you reach your full potential. Do you have a bold, entrepreneurial spirit? Put your ideas to work with us!
The mandate of the Compliance Department is to ensure that PEAK has policies and procedures, as well as controls in place to ensure that all regulatory requirements are met in an effective and efficient manner. To achieve this, we work with other departments at PEAK and challenge the status quo.
Come Make a Difference!
Working closely with the team in Trade Surveillance, Registrations and Approvals, you will be responsible for head office supervision of trading activities conducted by PEAK Investments Services Advisors or PEAK Securities Advisors across Canada. You will also be responsible for other head offices reviews and approvals (e.g. new products, etc.), and ensure that policies and processes are implemented in accordance with the regulatory framework.
What you'll do
- Review daily transactions carried out by PEAK Advisors in compliance with regulatory requirements
- Review monthly and quarterly reports related to PEAK Advisor activities
- Responsible for following up to resolution on issues that you identified during your daily, monthly and quarterly reviews
- Manage special cases such as bankruptcy, seizure files, etc.
- Manage new product approvals and provide training as necessary.
- Responsible for compliance with other regulatory requirements, such as AML.
- Support the team for other compliance matter such as complaints and supervisory investigations
- Provide timely and effective guidance in response to advisors’ inquiries related to their trading activities
- Report on trends identified during your daily, monthly and quarterly reviews, and suggest ways to address deficiencies
- Participate in special projects, such as IIROC/AMF/MFDA focused reviews, implementing regulatory changes and system enhancements
What we’re looking for
- Undergraduate degree in Finance or relevant field
- Canadian Securities Course
- ETFs for Mutual Fund Representatives course
- Branch Manager’s Examination Course offered from the IFSE Institute or equivalent or Branch Manager’s course offered by the Canadian Security Institute (an asset)
- Conduct Practice Handbook Course (an asset)
- Good knowledge of securities regulations
- Good knowledge of related regulations (AML, Privacy, etc.)
- Minimum 3-4 years of relevant work experience
Role success factors
- Excellent interpersonal skill
- Excellent spoken and written proficiency in English and French
- Strong organizational skills
- Ability to verbalise complex concepts, influence and guide advisors to use the correct procedures
- Prioritising and time management skills
- Excellent knowledge of Microsoft Office Suite
- Working knowledge of Univeris/Winfund/RBroker (an asset)
Our purpose is to make a real difference in the lives of Canadians.
Our mission is to improve the quality of people’s lives through better use of their money.
PEAK is the Canadian leader in fully independent advice.
Since its founding in 1992, PEAK has consistently expanded its horizons and now has more than $10 billion in assets under administration.
With 1,500 Advisors, registered professionals and employees across Canada, PEAK has always maintained its leadership position, yet has never lost sight of its values and mission.
We thank all applicants for their interest. However, only those selected for an interview will be contacted.