Compliance Specialist

Bookmark and Share

With $9 billion in assets under administration and more than 150,000 clients, PEAK Financial Group has captured the trust of over 1,500 independent advisors throughout Canada. PEAK Financial Group caters to financial advisors in the areas of wealth management, mutual funds, securities, insurance and financial planning.

With nearly hundred employees, The PEAK Financial Group is a private and completely independent company. Having an entrepreneurial spirit, we value leadership and, working as a team, the development of new ideas. We preserve a family spirit and maintain an open and respectful working environment. Our values are those of the authenticity, respect, personal growth and ethics.

Summary and core responsibilities of the position

The incumbent of this position is responsible for supervising the daily and monthly transactions done by PEAK Advisors. He or she is responsible for ensuring that PEAK policies and processes are implemented in accordance with the regulatory framework and for helping representatives maintain high standards in matters of compliance by responding to their requests. More specifically, this position encompasses:

  • Review the transactions carried out by advisors and monitor the risk weighted accounts in relation to the investment objectives.
  • Follow up on issues raised by monitoring and maintain a comprehensive and rigorous monitoring folder.
  • Maintain a variety of related records up to date (insiders, PRO accounts list, etc.).
  • Maintain a register of continuing education courses and report to IIROC completed the training.
  • Analyze loan applications for investment by making the customer's balance sheet and assessing the suitability of the leveraged loan strategy.
  • Monitor margin accounts and concentration of securities.
  • Manage bankruptcy / seizure files.
  • Participate in the complaints management.
  • Participate in inspections of regulators and self-regulatory (IIROC AMF MFDA).
  • Write and prepare information bulletin for the representatives on new procedures and application of best practices in the industry.
  • Check external communications and the advisors’ website to ensure that they are consistent with industry standards and the firm policy.
  • Analyze new financial products (due diligence).
  • Inform, guide and meet the demands of the advisors in their activities in compliance and that in the application of policies, rules and regulations of the industry.
  • Report on issues raised in the application of policies and compliance procedures.
  • Perform such other duties, functions and responsibilities as assigned by the compliance Manager.

 Main requirements and qualifications

  • Possess an University degree in Law or Finance;
  • Possess or working towards one or more of the following industry courses: Investment funds Course, Canadian Securities courses, Conduct and practice handbook, Branch Manager’s course or any other course offered by Canadian securities Institute;
  • Minimum of 2 years of relevant experience in the financial services industry;
  • Knowledge of the financial products and services as well as the industry regulations;
  • Knowledge of computer skills required;
  • Demonstrate patience and interpersonal skills in dealing with others;
  • Excellent spoken and written proficiency in English and French;
  • Be determined to maintain a good level of knowledge of laws and regulations related field.

If you cherish similar values ​​and if this position is something you aspire to take as a challenge, send your resume to This e-mail address is being protected from spambots. You need JavaScript enabled to view it. , we will be happy to review your application.

Only candidates retained for interviews will be contacted.