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!
Come Make a Difference!
Working closely with the internal audits team, you will be responsible for regulatory compliance reviews of the branches and sub-branches of PEAK Investment Services entities across Canada. You will also ensure that policies and procedures are implemented in accordance with the regulatory requirements and support PEAK advisors maintain high standards in matters of compliance.
What you'll do
- Prepare the branch review cycle of the branches and sub-branches under your responsibility according to their level of risk and the established procedures
- Perform branch and sub-branch reviews
- Prepare branch review reports that will be validated by your immediate supervisor
- Follow up on issues identified in branch review reports
- Report any anomalies and potential issues found to the supervisor so that they can be revised and accepted or refused
- Inform, guide and train advisors in the application of politics and internal procedures and of the regulation of the industry
- Participate in different internal audit projects
What we’re looking for
- Undergraduate degree in finance, accounting, or a related discipline
- 3-5 years of experience in internal audits/audits and drafting reports, or CPA title
- Completed CSI courses an asset (Mutual Funds, Canadian Securities, Conduct and Practices Handbook, Branch Managers…)
- Spoken and written proficiency in English and French
- Valid driver’s license
- Available for frequent and prolonged travels outside of home
Role success factors
- Strong analytical skills
- Strong knowledge of the dealings of a securities and mutual funds firm
- Strong knowledge of the securities sector regulations and their applications
- Excellent communication and customer service skills
- Excellent sense of organization and prioritization, detail-oriented
- Drive for continuous education and professional development
- Working knowledge of Winfund/Univeris/R-Broker (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.