Description
Description
Peters & Co. is currently recruiting two Compliance Officers. The roles report directly to the CCO and offer significant opportunities for professional development, including the ability to influence the modernization of an established compliance program.
Requirements
Responsibilities
- Conducting due diligence on activities such as new account opening and updates, and trade reports on a daily basis
- Ownership of certain policies and procedures content to ensure the firm remains in regulatory compliance
- Ownership of and regular review of NCAF’s
- Responsible for staying current with regulations
- Providing engagement, training, and assistance to Registered Representatives
- Assisting the CCO in preparation for and execution of regulatory engagements and reviews
- Assisting the CCO in ad hoc project work that strengthens the overall Compliance Program
- Representing the Compliance team by embodying high ethical standards, good judgement, and a value-added perspective
- Contribute back-up coverage for various Compliance tasks, such as certain account opening and trade supervision activity as appropriate
Qualifications
Ideal candidates will possess the following:
- An undergraduate degree
- 5 years relevant work experience
- Familiarity with the financial services industry, CIRO and FINRA.
- Completion of regulatory exams in either the Canadian (ex: Canadian Securities Course, Conduct and Practices Handbook, Investment Dealers Supervisors Course) or US markets (ex: Security Industry Essentials, Series 7, Series 24, Series 14).
- Outstanding qualities of initiative, work ethic, and organization
- Ability to work in a team environment, manage multiple tasks, and meet deadlines
- Excellent written and oral communication skills, and acute attention to detail
- A continuous improvement mindset
Application Process
To be considered for this role, candidates must submit both (1) a cover letter, and (2) a resume.
Please submit applications to hr@petersco.com with “Compliance Officer Job Opportunity” in the subject line. All applications received will be held in the strictest of confidence. We appreciate the interest from all applicants, however, only candidates under consideration will be contacted.
