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(Associate) - (Full-Time) - Montreal, QC, CA
September 8, 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 !
Working closely with the compliance teams supporting the various business lines, you will be called upon to contribute to the design, deployment and coordination of the compliance framework and compliance with regulations. You will ensure that policies and procedures are applied in accordance with regulatory requirements.
What you'll do
Collaborate on and support the design, evolution, implementation of action plans, programs, solutions or tools in terms of compliance while maintaining a balance between business needs and compliance.
Proactively identify problematic situations and propose innovative solutions and ensure their implementation.
Participate in the monitoring and analysis of new regulatory developments, provide advice accordingly and make recommendations regarding their application.
Ensure that the policy and procedure manuals (PEAK Investment Services and PEAK Securities) are maintained and that they meet regulatory requirements and industry practices.
Write compliance communications related to new or revised procedures to provide best practices to advisors.
Support PEAK advisors in their efforts to maintain high standards of compliance, providing them with advice quickly and efficiently, in response to their requests.
Find and propose ways to improve and simplify the quality and efficiency of the compliance department using technology.
What we’re looking for
Bachelor's degree in an relevant discipline
Securities Trading or Mutual Funds course
Branch manager course offered by CSI (Canadian Securities Institute) or any other recognized equivalent course
Minimum of 5 years of relevant work experience
Good knowledge of securities and related regulations (AMLATFR, confidentiality, etc.)
Conduct and Practices Handbook course (CPH) (an asset)
Chief Compliance Officers Qualifying Exam (CCO) (an asset)
Partners, Directors and Senior Officers Course(PDO) (an asset)
Role success factors
Experience in personnel management (an asset)
Capacity to work both in French and English
Independence, creativity, initiative and the ability to understand the company's architecture and business goals
Excellent interpersonal skills and good capacity for teamwork
Detail-oriented and strong analytical skills
Prioritization and organizational skills
Ability to clearly express complex concepts and present them in a concise manner
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 almost 30 years, 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 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.