ABOUT US

Accounts Opening Agent

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

The PEAK Financial Group is a private, dynamic, and fast growth company that values creating its own future while developing opportunities for personal growth for everyone. 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

Reporting directly to the director of Compliance, the Accounts Opening Agent is responsible for opening accounts for advisors and performing all other duties related to opening a brokerage account in accordance with regulatory requirements.

Core responsibilities

  • Process all account opening documentation: open new accounts, update existing accounts, process address changes.
  • Check the information provided on client account forms to make sure all regulatory requirements and compliance standards are met.
  • Return client forms that do not meet the required standards: notify the advisor by email, request the necessary changes, update the register for all returned documents, follow up on returned KYC forms, and update accounts once all information has been received.
  • Carry out day-to-day monitoring of PEAK securities accounts, ensure that all pertinent account opening documents are in the client file and restrict accounts with missing information or documents.
  • Send daily reports to advisors (e.g., missing document reports, restricted account reports).
  • Verify, approve and reject limited trade authorization (LTA) forms.
  • Receive and process all fee-based account requests, contact advisors and inform them of any errors on the fee-based account form.
  • Receive and process all returned emails (and send an email to the advisor with a copy of the non-financial update form) and keep the registers up to date for audit purposes.

Main requirements and qualifications

  • College diploma or relevant experience in a similar role
  • Patient and good with people
  • Excellent mastery of spoken English and French
  • Comfortable working in a computerized environment
  • Ability to analyze problems and create solutions
  • Proven team player
  • Strong organizational skills
  • Ability to handle confidential files with discretion
  • Ability to handle time-sensitive transactions when needed
  • Solid communication and customer service skills

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.