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 maintains policies and procedures, as well as controls in place to ensure that all regulatory requirements are met effectively and efficiently. To do this, we work with other PEAK teams and challenge the status quo. The team consists of 25 employees.
Come Make a Difference!
Working closely with the compliance teams supporting the various business lines of PEAK, you will be called upon to contribute to the design, deployment and coordination of the compliance framework and compliance with regulations. You will ensure that policies and procedures are applied in accordance with regulatory requirements.
What you'll do
- Collaborate on and support the design, evolution, implementation of action plans, programs, solutions or tools in terms of compliance while maintaining a balance between business needs and compliance
- Proactively identify problematic situations, propose innovative solutions, and ensure their implementation
- Participate in the monitoring and analysis of new regulatory developments, provide advice accordingly and make recommendations regarding their application
- Ensure that the policy and procedure manuals (PEAK Investment Services and PEAK Securities) are maintained and that they meet regulatory requirements and industry practices
- Write compliance communications related to new or revised procedures to provide best practices to advisors
- Support PEAK advisors in their efforts to maintain high standards of compliance, providing them with advice quickly and efficiently, in response to their requests
- Find and propose ways to improve and simplify the quality and efficiency of the compliance department using technology
What we’re looking for
- Bachelor’s degree in a relevant discipline
- Securities Trading or Mutual Funds course
- Branch manager course offered by CSI (Canadian Securities Institute) or any other recognized equivalent course
- Minimum of 5 years of relevant work experience
- Good knowledge of securities and related regulations (AMLATFR, confidentiality, etc.)
- Conduct and Practices Handbook course (CPH) (an asset)
- Chief Compliance Officers Qualifying Exam (CCO) (an asset)
- Partners, Directors and Senior Officers Course (PDO) (an asset)
Role success factors
- Experience in personnel management (an asset)
- Capacity to work both in French and English
- Independence, creativity, initiative and the ability to understand the company’s architecture and business goals
- Excellent interpersonal skills and good capacity for teamwork
- Detail-oriented and strong analytical skills
- Prioritisation and organizational skills
- Ability to clearly express complex concepts and present them in a concise manner
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.
If you believe you have what it takes to thrive and succeed in the PEAK family, send us your resume at email@example.com.
We thank all applicants for their interest. However, only those selected for an interview will be contacted.