Compliance Officer

Your team

Pictet Montreal is part of the Pictet Group (a Swiss private bank) and has specialised in securities trading for almost 50 years.

We are looking to strengthen our Compliance team in order to ensure that Pictet Canada L.P. (PCA) and Pictet Overseas Inc.

POI) establishes and maintains an effective compliance and supervisory program. Our mission is to prevent and detect violations of rules and regulations, to promote ethical practices, and to encourage commitment to compliance with all applicable regulations and internal directives.

The Compliance Officer sits within the Compliance Department and acts as the 2nd line of defence on all Compliance matters, to help build and implement an efficient compliance program.

As a trusted advisor to the business, the Compliance Officer works closely with the different departments of Pictet Canada LP and Pictet Overseas Inc.

to ensure that the right policies, framework, controls, and tools are in place in alignment with the local regulations and the global group directives.

This role is critical in safeguarding the integrity of our financial transactions and maintaining our reputation as a compliant and trustworthy broker-dealer.

Your role

• Support the day-to-day compliance matters.
• Assist in all regulatory audits, internal audits, investigations or examinations, i.e., to conduct research, gather documents, analysis and recommend solutions.

Assist with regulatory reporting of high risk items to the appropriate regulatory bodies (e.g., FINRA,FINCEN, SEC, FINTRAC, IIROC).

• Monitor and support the existing compliance programs.
• Monitor, review and challenge risks assessments and testing of compliance programs.
• Analyse current Compliance functions and suggest enhancements and standardization, where appropriate.
• Analyse, interpret, and communicate business impacts relating to regulatory changes.
• Draft and revise compliance policies based upon regulatory updates and industry best practices.
• Assist with annual compliance training and project implementation as needed.
• Continually review and test the processes and controls at the business unit level, including the identification of gaps in the current state and lead the developments and enhancements of control framework, procedures.

Your profile

• Bachelor’s degree in Law, Finance, Business Administration or a related field.
• Minimum of 5 years of related experience at a financial institution and or regulated securities dealer.
• Good understanding of securities industry. (IIROC dealer rules, UMIR, FINRA Rules, of provincial securities legislation applicable to trading activities).
• Securities licenses (combination or equivalent of) : CSC, CPH, SIE, Series 7, Series 24 or commitment to complete the missing ones.
• Capacity to challenge status quo, exercise sound judgement and enhance processes. Excellent analytical and problem-solving skills.
• Excellent verbal and written communication skills in French and English.
• Effective communication and interpersonal skills, with the ability to interact with various stakeholders.
• Individual who shows initiative and has the ability to deliver effective results.

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.

Note

This position requires to work onsite, and offers some work from home flexibility.

We will not accept any CVs via agencies

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.