Trade Surveillance Analyst (1 year Contract)

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Cultivating a culture of high trust, PEAK strives to maintain an environment of collaboration, and family-like relations among employees. It will be exciting, with fast paced work and many new opportunities to surpass yourself. You have a strong entrepreneurial spirit and no shortage of courage. Put your ideas forward and grow with us.

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.

Come Make a Difference!

Working closely with the trade surveillance and registrations team members, you will be responsible for head office supervision of trading activities conducted by PEAK Investments Services Advisors or PEAK Securities Advisors across Canada, as well as other head offices reviews and approvals.

What you'll do

  • 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

What we’re looking for

  • 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.)
  • 3-4 years of relevant work experience

Role success factors

  • Excellent interpersonal skill
  • Strong organizational skills
  • Ability to communicate effectively in verbal and written communication
  • Capacity to work both in French and English
  • Ability to verbalise complex concepts, influence and guide advisors to use the correct procedures
  • Prioritising and time management skills
  • Working knowledge of Univeris/Winfund/RBroker (an asset)

About PEAK

Making a real difference in the lives of Canadians is our raison d'être. Improving the quality of people's lives through better use of their money is our mission. PEAK is the Canadian leader when it comes to fully independent advice.

For 27 years, PEAK has consistently expanded its horizons and now has more than $10 billion in assets under administration.

With 1,500 Advisors, registered professionals and employees across Canada, PEAK has always been in the lead, yet has never lost sight of its values and mission.

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