Compliance

• 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.

Compliance Specialist, Securities – Mutual Funds

Regulatory and Quality Specialist

Manager, Trade Conduct Compliance

Senior Advisor, Governance, IT, Operational Risk and Compliance

Agent de conformité