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Internal auditor - controls

(Associate) - (Full-Time) - Montreal, QC

June 15, 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 the Director of Internal Audits, this new role with PEAK will consist mainly of 2 components, namely establishing and performing regulatory internal control audits via the Alpha CCO platform and supporting the Director in monitoring daily mandates of internal auditors.

What you'll do

Review of internal controls:

·      Develop internal control policies and procedures

·      Creation of review tasks in the Alpha CCO platform

·      Participate in the scheduling of internal control tasks

·      Perform internal control verification tasks

·      Follow up on the application of corrective measures

·      Identify areas for improvement both in terms of internal controls and review procedures

·      Support the Chief Compliance Officers of the 2 entities registered in implementing and updating internal controls of their respective entity in Alpha CCO

·      Support supervisors and employees in the use of the Alpha CCO platform

·      Contribute to the production of statistics in favor of quarterly compliance reports

·      Be the contact for the Alpha CCO platform supplier

·      Manage internal training

·      Participate in inspections by regulators (IIROC, AMF and MFDA) with regard to internal audits - internal controls segment

Support the Director, internal audits:

·      Support the auditors on a daily basis in their daily mandate to review establishments

·      Participate in updating and improving business address review programs

·      Review and approve business address review reports

·      Support the two Chief Compliance Officers in more contentious audit files

·      Contribute to the production of statistics in favor of quarterly compliance reports

·      Carry out reviews on establishments (in the event of a supernumerary need)

·      Training of internal auditors and branch managers

What we’re looking for

·      Undergraduate degree in finance, accounting, or a related discipline

·      CPA title (an asset)

·      Completed CSI courses (Mutual Funds, Canadian Securities, Conduct and Practices Handbook, Branch Managers…)

·      Excellent internal audit knowledge

·      Strong knowledge of the securities sector regulations and their applications (IIROC, MFDA, AMF, etc.)(an asset)

·      5 years of relevant experience

Role success factors

·      Strong analytical skills

·      Spoken and written proficiency in English and French

·      Excellent communication and customer service skills

·      Excellent sense of organization and prioritization, detail-oriented

·      Excellent knowledge of Microsoft Office

·      Drive for continuous education and professional development

·      Working knowledge of Winfund/Univeris/R-Broker(an asset)

What we offer

·      Competitive salary with social benefits (group insurance, group RRSP and others)

·      Flexible schedule based on a 37.5-hourtime slot

·      Full-time telework when you are not traveling

·      Possibility of being based in the greater Quebec City area (north shore and south shore) or from Montreal

·      Training at the employee's choice (in connection with the nature of the job)

·      A very nice family atmosphere made up of 140+ employees

·      Various activities by the social club and the head office

* For all employees residing in the Quebec City region and the south shore of Quebec City, frequent and regular trips to the Montreal head office are to be expected.

About PEAK

Our purpose is to make areal 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 $12 billion in assets under administration.

With 1,500 Advisors, registered professionals and employees across Canada, PEAK has always maintain edits 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.