Director of Compliance Monitoring and Oversight architecting globally integrated assurance functions at Airwallex. Maturing compliance frameworks and leading monitoring specialists to safeguard operations.
About the role
- Compliance Specialist overseeing trading activities and compliance for PEAK Advisors in Canada. Ensuring regulatory requirements are met and supporting advisor inquiries on compliance matters.
Responsibilities
- Review the daily transactions carried out by PEAK Advisors to ensure they comply with regulatory requirements
- Review monthly and quarterly reports related to PEAK Advisors’ activities
- Follow up on issues identified during daily, monthly and quarterly reviews
- Assess and approve communications prepared by PEAK Advisors (marketing, social media, etc.)
- Manage the entire External Activities process, including assessment, approval, reporting, and preparation of disclosure letters
- Ensure compliance with other regulatory requirements, including anti-money laundering obligations
- Support the team on other compliance matters, such as complaints and investigations
- Provide timely and practical guidance in response to advisors’ requests regarding their trading activities
- Report trends identified through daily, monthly and quarterly reviews and recommend ways to address gaps
- Participate in special projects, such as reviews focused on IIROC, FINTRAC and other applicable rules, implement regulatory changes, and deliver system improvements.
Requirements
- Undergraduate degree in finance or a related field
- Course on Canadian securities trading
- Course for securities supervisors offered by the Canadian Securities Institute
- Course related to the Conduct and Practices Handbook (CPH)
- Strong knowledge of securities regulation
- Good knowledge of related regulations (anti-money laundering, privacy, etc.)
- Minimum of 3–4 years of relevant work experience
- Strong interpersonal skills
- Excellent command of both French and English, spoken and written
- Highly organized with strong attention to detail
- Ability to explain complex concepts clearly to advisors, influence them, and guide them on appropriate procedures
- Ability to prioritize projects and manage time effectively
- Excellent knowledge of the Microsoft Office suite
- Practical knowledge of Univeris/Winfund/RBroker (an asset)
Benefits
- Permanent full-time position (37.5 hours per week, Monday to Friday)
- Hybrid work model: 3 days in the office per week
- Modern offices with a view in the heart of downtown Montreal, easily accessible by public transit (2 minutes from Peel metro station)
- 3 weeks vacation and 5 sick days per year
- After 3 months of service: comprehensive group benefits (health, dental, health spending account, employee assistance program, telemedicine) covered 50% by the employer
- After 3 months of service: RRSP program with employer contribution
- Employer covers 20% of the OPUS card cost (equivalent to 2 months free per year)
- Community involvement and corporate support for cancer and other charities
- Frequent events organized by the social committee focused on company culture (PEAKulture), employee mental and physical health (PEAKare) and social/community involvement (PEAKommunity)
- Support for personal development through training and internal career advancement
- Free access to the building’s gym
Job title
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