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(Associate) - (Full-Time) - Montreal or Quebec, QC
July 13, 2021Apply with LinkedInSend my CV
At PEAK, we value a culture based on trust and strive to maintain a collaborative environment and a family-like atmosphere among our employees. We offer a fast-paced environment with stimulating work to challenge you and help you reach your full potential. Do you have a bold, entrepreneurial spirit? Put your ideas to work 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. The team is comprised of 20 people.
Come Make a Difference!
Reporting to Compliance Director you will be responsible for the end-to-end registration process and communications approvals for PEAK Investments Services and PEAK Securities Advisors across Canada. 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 Advisors maintain high standards in matters of compliance by responding to their questions on a timely basis.
What you’ll do
· Manage the end-to-end process for the registrations of new advisors and for the changes to their registration information
· Maintain NRD up-to-date
· Manage the end-to-end process for Outside Activities, including the review, approval, reporting as well as the preparation the Letters of Disclosure
· Manage the due diligence process for new PEAK Advisors
· Review and approve communications prepared by PEAK Advisors (marketing, social media sites, etc.)
· Report on trends identified during your reviews
· Participate in special projects
· Implement regulatory changes and system enhancements under your responsibility
· Track and report continuing education of advisors
· Identify and suggest ways to improve the quality and efficiency of work performed
What we’re looking for
· Undergraduate degree in Finance or relevant field
· Canadian Securities Course (an asset)
· Branch Manager’s Examination Course offered from the IFSE Institute or equivalent (an asset)
· Minimum 2 years of relevant work experience
Role success factors
· Excellent interpersonal skills
· Excellent spoken and written proficiency in English and French
· Strong organizational skills
· Ability to verbalize complex concepts, influence and guide advisors to use the correct procedures
· Prioritizing and time management skills
· Excellent knowledge of Microsoft Office Suite
· Working knowledge of NRD
Our purpose is to make a real difference in the lives of Canadians.
Our mission is to improve the quality of people’s lives through better use of their money.
PEAK is the Canadian leader in fully independent advice.
Since its founding in 1992, PEAK has consistently expanded its horizons and now has more than $13 billion in assets under administration.
With 1,500 Advisors, registered professionals and employees across Canada, PEAK has always maintained its leadership position, yet has never lost sight of its values and mission.
We thank all applicants for their interest. However, only those selected for an interview will be contacted.