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Entry - Full-Time - Montreal
October 12, 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!
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)
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.