Peak Financial Group

General Counsel

• Act as legal counsel to the Chief Compliance Officer, senior management and business units on legal and regulatory matters
• Support the Chief Compliance Officer and compliance teams in interpreting and applying laws, regulations, IIROC rules, CSA requirements and other regulatory obligations
• Advise the firm on internal investigations, disciplinary matters, non-compliance issues and corrective actions
• Support the management of client complaints, litigation, mediations, arbitrations and other disputes
• Provide guidance and support to advisors in matters involving vulnerable clients
• Represent and assist the firm in dealings with regulatory authorities during inspections, investigations, information requests and consultations
• Participate in drafting, reviewing and updating policies, procedures, guides and governance documents
• Draft, review, analyze and negotiate contracts, commercial agreements and other legal documents
• Monitor legal and regulatory developments, analyze new requirements and recommend necessary actions
• Prepare legal opinions and memoranda to support business decisions and strategic direction
• Participate in preparing submissions and comment letters to regulatory authorities
• Advise the firm on complex or sensitive situations involving advisors, clients or brokerage activities
• Contribute to strategic projects by assessing legal and regulatory impacts of new initiatives, products and services
• Collaborate with, support and advise the firm on compliance action plans, programs, solutions and tools
• Act as a change agent with managers and stakeholders on compliance-related projects
• Proactively identify legal and regulatory risks and recommend practical mitigation measures
• Coordinate with external counsel when required

Lawyer / Legal Counsel – Securities

Human Resources

• Manage the full recruitment cycle for assigned roles: posting, candidate sourcing, pre-screening, interview coordination and offer management
• Collaborate with hiring managers to understand their needs and develop effective attraction strategies
• Deliver a professional, positive and human candidate experience at every stage of the recruitment process
• Ensure accuracy and maintenance of data in the HR information system (BambooHR) and employee files (hires, movements, departures, organization charts, etc.)
• Handle day-to-day HR administrative activities, including contracts, letters, onboarding and offboarding, benefits, visas and compliance documentation
• Prepare HR metrics and reports (headcount, turnover, time-to-hire, etc.) for the leadership team
• Participate in continuous improvement of HR processes, tools and systems
• Serve as the backup payroll contact to ensure operational continuity during absences or peak periods
• Develop a solid understanding of payroll cycles, required data and regulatory requirements
• Contribute to payroll data accuracy, including attendance, absences, bonuses and deductions

Lawyer / Legal Counsel – Securities

HR Generalist, Talent Acquisition