Compliance Agent

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With over $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 will support the Compliance Specialist in ensuring that PEAK policies and processes are implemented in accordance with the regulatory framework and 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.
  • Verifying client data forms to make sure they abide by regulatory and compliance standards;
  • Manage bankruptcy / seizure files.
  • Participate in the complaints management.
  • Assist the Compliance Specialist in his or her compliance duties and responsibilities.
  • 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

  • Demonstrate patience and interpersonal skills in dealing with others
  • Excellent spoken and written proficiency in English and French
  • Ability to work in a computerized environment
  • Capacity to analyze, to find solutions to problems encountered
  • Good interpersonal skills and the ability to work well in teams
  • Strong organizational skill
  • Treat confidential information with discretion
  • Aptitude for communicating with and serving clients
  • Have the ability to work quickly when faced with urgent operational needs

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.