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Trade Surveillance Specialist

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

September 8, 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 Supervisor, Trade Surveillance, Registrations and Approvals, you will be responsible for head office supervision of trading activities conducted by PEAK Investments Services Advisors or PEAK Securities Advisors across Canada.  You will also be responsible for other head offices reviews and approvals (e.g. new products, etc.).  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 PEAK Advisors maintain high standards in matters of compliance by responding to their questions on a timely basis

What you'll do

Review daily transactions carried out by PEAK Advisors in compliance with regulatory requirements.

Review monthly and quarterly reports related to PEAK Advisor activities.

Responsible for following up to resolution on issues that you identified during your daily, monthly and quarterly reviews.

Manage special cases such as bankruptcy, seizure files, etc.

Manage new product approvals and provide training as necessary.

Responsible for compliance with other regulatory requirements, such as AML.

Support the team for other compliance matter such as complaints and supervisory investigations.

Provide timely and effective guidance in response to advisors’ inquiries related to their trading activities.

Report on trends identified during your daily, monthly and quarterly reviews, and suggest ways to address deficiencies.

Participate in special projects, such as IIROC/AMF/MFDA focused reviews, implementing regulatory changes and system enhancements.

What we’re looking for

Undergraduate degree in Finance or relevant field

Canadian Securities Course

ETFs for Mutual Fund Representatives course

Branch Manager’s Examination Course offered from the IFSE Institute or equivalent or Branch Manager’s course offered by the Canadian Security Institute (an asset)

Conduct Practice Handbook Course (an asset)

Good knowledge of securities regulations

Good knowledge of related regulations (AML, Privacy, etc.)

Minimum 3-4 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 Univeris/Winfund/RBroker (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 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.