Senior Advisor, Compliance and Regulatory Affairs

Peak Financial Group

. Act as a senior subject-matter expert on regulations applicable to brokerage activities, particularly securities dealing.

Posted 9/23/2026full-timeMontreal • CanadaSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in regulatory compliance within financial services, particularly in securities brokerage, with a strong ability to analyze and implement regulatory requirements effectively. Proven track record in managing complex compliance matters and collaborating with cross-functional teams to mitigate compliance risks.

Highest-signal resume keywords

Regulatory Compliance ExpertiseSecurities Brokerage KnowledgeCanadian Securities Course (CSC)Anti-Money Laundering (AML)Conflict of Interest Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory AnalysisCompliance Risk ManagementTrade SurveillanceInvestment Products KnowledgeRegulatory Audits

Soft Skills

Excellent JudgmentInfluential LeadershipEffective CollaborationVerbal CommunicationWritten Communication

Certifications & Qualifications

Canadian Securities Course (CSC)

Industry Keywords

Securities DealingCIRO RulesCanadian Securities Administrators (CSA)Anti-Money Laundering (AML)FATCA/CRS

Tech Stack

Tools & technologies

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About the role

Key responsibilities & impact

Act as a senior subject-matter expert on regulations applicable to brokerage activities, particularly securities dealing.
Analyze new requirements and contribute to their implementation across the organization.
Lead or support complex compliance matters, including investigations, complaints, high-risk outside activities, conflicts of interest, matters involving vulnerable persons, product approvals, and other situations requiring in-depth regulatory expertise.
Contribute to the governance and oversight of regulatory programs, including anti-money laundering (AML) and FATCA/CRS.
Participate in the development, updating, and application of internal policies, procedures, and controls.
Play a key role in preparing for and following up on regulatory examinations and coordinating resulting action plans.
Contribute to audit and control activities and analyze identified trends and risks to recommend appropriate measures.
Serve as a resource for compliance teams, supervisors, and management on complex regulatory matters.
Participate in organizational projects involving regulatory considerations and support teams in identifying and managing compliance risks.
Work closely with legal, operations, and business teams to analyze and resolve compliance issues.
Support the CCO in analyzing regulatory matters, identifying compliance risks, and continuously improving the compliance program.
Lead certain priority matters or initiatives requiring coordination across multiple functions within the department or organization.

Requirements

What you’ll need

Significant compliance experience in financial services, particularly securities brokerage.
Excellent knowledge of regulations applicable to investment dealers, including CIRO rules and Canadian Securities Administrators (CSA) requirements.
Strong understanding of securities activities and products, including equities, bonds, ETFs, structured products, and other investments.
Experience interpreting and applying regulatory requirements and managing complex compliance matters.
Completion of relevant industry courses, including the Canadian Securities Course (CSC) and training required or recognized for supervisory functions.
Equivalent education or experience will be considered.
Experience in brokerage supervision, trade surveillance, discretionary management, or regulatory audits is an asset.
Excellent judgment and ability to analyze regulatory risks and formulate clear, pragmatic recommendations.
Ability to independently manage sensitive or high-priority matters.
Ability to explain regulatory requirements clearly and propose solutions suited to operational and business realities.
Influential leadership and ability to collaborate effectively with compliance teams, supervisors, advisors, and management.
Excellent verbal and written communication skills.

Benefits

Comp & perks

Hybrid work model: 3 days in the office and 2 days working remotely per week.
Three weeks of vacation, five sick days, and one personal day per year.
Comprehensive group insurance plan after three months of service, including medical and dental coverage, a health spending account, an employee assistance program, and telemedicine.
Registered Retirement Savings Plan (RRSP) with employer contributions after three months of service.
20% discount on the OPUS transit card (equivalent to approximately two free months per year).
Monthly social activities and team events.
Professional development and career advancement opportunities.
Modern offices with panoramic views in the heart of downtown Montreal, easily accessible by public transit.
Free drinks and snacks available at the office every day.