Compliance Officer – Regulatory Watch and Policies

Bookmark and Share

Interested in joining a dynamic team?

Are you analytical, and passionate about investments?

Do you enjoy using technology to find solution to complex problems?

At PEAK, we look to train you in every component of our business, so that you can learn, grow and define your career. It will be exciting, with fast paced work and many new challenges. Our culturally diverse and dynamic team members are genuinely interested in helping you succeed and will support you every step of the way!

Cultivating a culture of high trust, PEAK strives to maintain an environment of collaboration, and family-like relations among employees. We have draws for your favourite show or sport, birthday celebrations among teammates, and social committee activities that consider your preferences!

The mandate of the Compliance Department is to ensure that PEAK has policies and procedures, as well as controls in place to ensure that all regulatory requirements are met in an effective and efficient manner. To achieve this, we work with other departments at PEAK and challenge the status quo. The team is comprised of 20 people.


Reporting to the Deputy Director, you will be responsible for monitoring regulatory changes that impact PEAK Investment Services and PEAK Securities. You will analyze proposed and current regulations to determine impacts and propose action plans that ensure compliance and that meet business objectives. You will work closely with your teammates to ensure that policies and procedures are implemented in accordance with the regulatory requirements. You will support your teammates and PEAK Advisors to maintain high standards in matters of compliance by responding to their questions on a timely basis.

Your Contribution

  • Responsible for ensuring that the policies and procedures manuals (PEAK Investment Services and PEAK Securities) are up to date and meet regulatory requirements and industry practices
  • Analyse, advise and make recommendations for the implementation of the new regulations
  • Collaborate with your teammates for the development of action plans following regulatory audit reports
  • Develop new policies and procedures for new regulations or new business needs.
  • Prepare and deliver training to PEAK Advisors
  • Support PEAK advisors in maintaining high compliance standard by providing timely and effective guidance in response to their inquiries
  • Draft communications relating to new or revised procedures, providing best practices to help advisors
  • Identify and suggest ways to enhance and streamline the quality and the efficiency of the compliance department, leveraging technology

Qualifications and Experience

  • Undergraduate degree in Business, Finance, Law or relevant field
  • Canadian Securities Course
  • ETF course (an asset)
  • Branch Manager’s Course offered by the Canadian Securities Institute or equivalent recognised course
  • Conduct and Practices Course
  • Certified Financial Planner (an asset)
  • Strong knowledge of securities and related regulations (AML, Privacy, etc.)
  • Minimum 5 years of relevant work experience


  • Excellent interpersonal skills and strong ability to work in a team
  • Excellent spoken and written proficiency in English and French
  • Excellent sense of organization and prioritization
  • Detail oriented with strong analytical skills
  • Ability to verbalise complex concepts and to present it in a concise manner
  • Ability to influence and guide advisors to use the correct procedures
  • Autonomous with an innovative mind set
  • Excellent knowledge of Microsoft Office Suite

If you think you have what it takes to flourish and prosper in the PEAK family, please send your resume to:  This e-mail address is being protected from spambots. You need JavaScript enabled to view it. .

We wish to thank all those who have applied but we will communicate only with those candidates selected for interviews.