OVERVIEW OF PETERS & CO. LIMITED

Peters & Co. is an independent, fully integrated investment dealer specializing in investments in the Canadian energy sector for over 50 years.

Peters & Co. provides investment services to institutional investors and private clients; employs its own sales and trading group; conducts specialized and comprehensive investment research on the energy sector; and is an active underwriter for, and financial advisor to, companies active in the Canadian and international energy industry. Peters & Co. has acted as financial advisor in a significant number of merger and acquisition transactions involving energy corporations in Canada and internationally.

For information regarding Peters & Co. please refer to our website at: www.petersco.com

JOB OPPORTUNITY – COMPLIANCE ASSOCIATE

Description

Peters & Co. is currently recruiting for a Compliance Associate. The role reports directly to the CCO and offers significant opportunities for professional development.

Responsibilities

• Assist with routine reporting with a continuous improvement mindset
• Contribute to process improvement and modernization efforts via leveraging existing and incorporating new tools, task mapping and analysis, enhancing or creating documentation
• Preparation of monthly employee personal trading account holdings summaries and daily correspondence management
• Perform time-sensitive tasks (e.g. regulator or commercially driven inquiries) quickly in response to regulatory and internal stakeholder requests
• Contribute back-up coverage for various Compliance tasks
• Process, coordinate, distribute, and maintain compliance related documentation and records
• Provide support to CCO and Compliance team members as needed

Qualifications

Ideal candidates will possess the following:

• An undergraduate degree
• 1 – 2 years work experience
• Familiarity with capital markets and/or relevant regulations (ex: CIRO) would be a plus
• Completion of or willingness to complete regulatory exams such as the Canadian Investment Regulatory Exam
• Able to adapt to and develop a mastery of systems; technologically proficient
• Demonstrates problem solving and process improvement traits
• 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

APPLICATION PROCESS

To be considered for this role, candidates must submit the following:

• Cover letter; and
• Resume.

Please submit applications via the job post located on the Peters & Co. Careers Centre.

If applying through Indeed, please use the “Apply Now” button on that job posting.

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.