Compliance Officer – Regulatory Audits and Project Coordinator

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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 the day to day management of regulatory audits (AMF, MFDA, IIROC, FINTRAC, etc.). You will collaborate with the team for the elaboration of the action plans related to new regulations and   regulatory audit and for the development of best practices. You will be responsible for coordinating the implementation of action plans, monitoring their progress and ensuring their smooth progress. You will support the team and other departments to maintain high compliance standards by supporting them throughout plan execution.

Your Contribution

  • Manage the end to end process for regulatory audits and other compliance projects.
  • Manage the project lifecycle (design, execution and delivery phases), ensuring delivery dates are respected
  • Participate in meetings with managers and teammates to development and establish project scope
  • Coordinate and act as a resource person to the various stakeholders
  • Coordinate and participate in the drafting of project processes and procedures and ensures their deployment within the various departments
  • Act as an agent of change for managers and stakeholders on projects related to the compliance
  • Prepare reports for management and stakeholders
  • Coordinate the annual testing of internal controls
  • Participate in developing new tools for PEAK Advisors
  • Support advisors in maintaining high compliance standard by providing timely and effective guidance in response to advisors inquires related to compliance matter
  • Participate in preparing training to 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 Finance or relevant field
  • Canadian Securities Course
  • ETF course (an asset)
  • Conduct and Practices Course (an asset)
  • Branch Manager’s course offered by the Canadian Security Institute or equivalent recognised course
  • Strong knowledge of securities and related regulations (AML, Privacy, etc.)
  • Minimum 3-4 years of relevant work experience


  • Excellent interpersonal skills and strong ability to work in a team
  • Excellent project management skill
  • Excellent spoken and written proficiency in English and French
  • Strong sense of organization and prioritization
  • Ability to work under pressure and in tight deadlines
  • Ability to verbalise complex concepts
  • Ability to influence and guide advisors to use the correct procedures
  • Autonomous with an innovative mind set
  • Excellent knowledge of Microsoft Office Suite
  • Working knowledge of Univeris/Winfund/RBroker (an asset)

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.