Lawyer / Legal Counsel – Securities

Peak Financial Group

Avocat.e en valeurs mobilières et conformité chez PEAK Investment, société de services financiers. Conseil réglementaire, gestion des risques et soutien aux projets stratégiques.

Posted 8/19/2026full-timeMontreal • 🇨🇦 CanadaMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in securities law, regulatory compliance, and legal risk management, with strong capabilities in legal analysis, drafting, and problem-solving. Proficient in advising on complex legal matters and managing compliance-related projects within a financial institution.

Highest-signal resume keywords

Law Degree (LL.B., J.D. or Equivalent)Securities Law ExpertiseRegulatory Compliance ExperienceBilingual Communication Skills (French and English)Legal Analysis and Drafting Skills

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Legal AnalysisContract DraftingRegulatory Risk ManagementCompliance Program DevelopmentPolicy Review and UpdateInternal InvestigationsDisciplinary MattersClient Complaint ManagementNegotiation SkillsLegal Opinion Preparation

Soft Skills

Strong JudgmentAutonomyProblem-SolvingPrioritizationCollaboration

Certifications & Qualifications

Member in Good Standing of a Canadian Law Society

Industry Keywords

IIROC RulesCSA RequirementsFinancial InstitutionBrokerage FirmLegal CounselRegulatory AuthoritiesCompliance Action PlansChange AgentLitigation ManagementVulnerable Client Support

Tech Stack

Tools & technologies

Chef

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

Law degree (LL.B., J.D. or equivalent)
Member in good standing of a Canadian law society
Minimum of five years of relevant legal practice experience
Significant experience in securities law, regulatory compliance or within a financial institution, brokerage firm or specialized law firm
Strong knowledge of securities laws and regulations and of IIROC and CSA rules
Good understanding of legal and regulatory risk management
Excellent legal analysis, drafting and problem-solving skills
Ability to manage multiple matters concurrently in a dynamic environment
Strong judgment, autonomy and ability to prioritize
Excellent verbal and written communication skills in French and English

Benefits

Comp & perks

Hybrid work model (3 days in the office, 2 days remote)
3 weeks of vacation
5 sick days
1 personal day
Comprehensive group insurance
RRSP with employer contribution (after 3 months)
20% discount on OPUS transit card
Team activities
Professional development
Advancement opportunities
Modern downtown Montreal offices with easy access to public transit
Complimentary drinks and snacks in the office