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Compliance Technician

Entry - Full-Time - Montreal

October 12, 2021

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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!

Come Make a Difference!

Reporting to Compliance Supervisor, you will be responsible for the end-to-end registration process 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

Collaborate in the Immigrant Investor program

Participate in special projects

Participate in the implementation of regulatory changes related to the activities under his responsibilities

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 work experience in compliance or relevant field

 

Role success factors

Have good analytical skills

Have a developed sense of organization

Possess effective time management and ability to prioritize

Enjoy working with procedures and regulations

Possess good interpersonal skills

Be thorough and meticulous

Capacity to work both in French and English

Be able to verbalize complex concepts to advisers, influence them and guide them to use of adequate procedures

Have an excellent knowledge of the Microsoft Office suite

Have a working knowledge of NRD (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 interview.