ABOUT US

Trade Surveillance Specialist

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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.

Summary

Reporting to the Supervisor, Trade Surveillance, Registrations and Approvals, you will be responsible for head office supervision of trading activities conducted by PEAK Investments Services Advisors or PEAK Securities Advisors across Canada. You will also be responsible for other head offices reviews and approvals (e.g. new products, etc.). You will be working closely with your teammates to ensure that policies and processes are implemented in accordance with the regulatory framework. You will support PEAK Advisors maintain high standards in matters of compliance by responding to their questions on a timely basis.

Your Contribution

  • Review daily transactions carried out by PEAK Advisors in compliance with regulatory requirements
  • Review monthly and quarterly reports related to PEAK Advisor activities
  • Responsible for following up to resolution on issues that you identified during your daily, monthly and quarterly reviews
  • Manage special cases such as bankruptcy, seizure files, etc.
  • Manage new product approvals and provide training as necessary.
  • Responsible for compliance with other regulatory requirements, such as AML.
  • Support the team for other compliance matter such as complaints and supervisory investigations
  • Provide timely and effective guidance in response to advisors’ inquiries related to their trading activities
  • Report on trends identified during your daily, monthly and quarterly reviews, and suggest ways to address deficiencies
  • Participate in special projects, such as IIROC/AMF/MFDA focused reviews, implementing regulatory changes and system enhancements

Qualifications and Experience

  • Undergraduate degree in Finance or relevant field
  • Canadian Securities Course
  • ETFs for Mutual Fund Representatives course
  • Branch Manager’s Examination Course offered from the IFSE Institute or equivalent or Branch Manager’s course offered by the Canadian Security Institute (an asset)
  • Conduct Practice Handbook Course (an asset)
  • Good knowledge of securities regulations
  • Good knowledge of related regulations (AML, Privacy, etc.)
  • Minimum 3-4 years of relevant work experience

Competencies

  • Excellent interpersonal skills
  • Excellent spoken and written proficiency in English and French
  • Strong organizational skills
  • Ability to verbalise complex concepts, influence and guide advisors to use the correct procedures
  • Prioritising and time management skills
  • Excellent knowledge of Microsoft Office Suite
  • Working knowledge of Univeris/Winfund/RBroker (an asset)

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