Compliance Agent

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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 supporting the Regulatory Affairs team in the execution of their tasks (complaint management, supervisory investigations, regulatory audits, etc.). You will be involved in the day to day management of documentation, following-up with PEAK Advisors and maintaining regulatory registers. You will also support the Investor Immigration Program.

Your Contribution

  • Participate in the client complaints and the supervisory investigations processes
  • Support teammates for regulatory audits
  • Maintain regulatory records for reporting purposes
  • Support the implementation of action plans related to new rules, regulatory audits and best practices
  • Participate in publishing PEAK policies and procedures manuals
  • Participate in coordinating training for PEAK Advisors
  • Participate in special projects
  • Provide administrative support for the Immigrant Investor Program

Qualifications and Experience

  • DEC
  • Canadian Securities Course (an asset)
  • Knowledge of securities and related regulations (AML, Privacy, etc.) (an asset)
  • Minimum 2 years of relevant work experience


  • Interpersonal skills and demonstrated ability to work well in a team
  • Excellent spoken and written proficiency in English and French
  • Sense of organization and prioritization
  • Detail oriented
  • 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.