Consultant/Project Manager for Technical GMP Compliance providing expertise to pharma and biotech industries. Involves mentoring and project management for compliance solutions in Switzerland.
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
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Risk Management Consultant at Beneva focusing on governance, compliance and risk management in IT. Collaborating directly with teams to enhance practices and support stakeholders.
Privacy & Compliance Consultant role at TechSeed focusing on digital compliance and cybersecurity solutions with a strong emphasis on regulatory requirements.
Associate Director overseeing compliance and risk management at Clinica Sierra Vista. Leading strategic initiatives for regulatory compliance and risk reduction in healthcare deliveries.
Payments & Fraud Regulations Analyst coordinating between Payments, Fraud Operations, and Regulatory Compliance. Focus on monitoring payment activity, analyzing escalations, and internal reporting.
Senior Compliance Officer monitoring and analyzing adherence to federal and state compliance regulations. Leading efforts to ensure compliance with Collections laws within Navy Federal Credit Union operations.
Compliance Analyst at The Bancorp overseeing compliance with regulatory laws and providing advisory services to business lines and functions. Conducting reviews and assessments according to compliance management standards.
Seek a Jurist / Volljurist for Datenschutz and Compliance at DLG e.V. providing legal support and consultancy with a focus on data protection and corporate law.
Compliance Analyst at Broadridge supporting risk and control for Investor Communication Solutions. Managing audits, investigations, and internal controls in a hybrid work setting.
Electrical Regulatory Manager leading regulatory strategy for new electrical projects at P&G. Collaborating with international teams to ensure compliance and influence regulatory landscapes.