Job Description

Company Overview

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 Officer

Summary

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.

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.

Job Type: Full-time

Work Location: In person