About Desjardins and Guardian Capital LP Desjardins Group is a leading Canadian financial cooperative offering a comprehensive range of financial products and services. Within Desjardins, Desjardins Global Asset Management (DGAM) brings together investment management expertise serving institutional and other investors. The integration of Guardian Capital’s asset management activities into Desjardins further strengthens this platform, bringing together complementary businesses and investment capabilities across multiple markets and jurisdictions.
Guardian Capital LP (GCLP) is a Canadian institutional asset manager delivering investment management solutions to pension funds, foundations, endowments, corporations, other institutional investors, and an entity of Desjardins Group. GCLP operates within a complex regulatory environment encompassing Canadian securities regulation, investment fund management requirements, market conduct obligations, and evolving compliance expectations.
Position Overview The Chief Compliance Officer (CCO) is responsible for the design, implementation, oversight, and continuous enhancement of GCLP's compliance management framework. The CCO serves as a trusted advisor to senior management, supporting the organization's regulatory obligations, strategic objectives, and culture of compliance and ethical conduct.
The successful candidate will provide independent oversight of regulatory compliance risk and lead the ongoing maturation of governance, monitoring, testing, reporting, and compliance risk management practices.
The Chief Compliance Officer is a member of the Leadership team in the Compliance Executive Division and reports to Desjardins Group’s Chief Compliance Officer. The role is responsible for ensuring that GCLP's compliance framework remains aligned with the organization's global compliance strategy, governance principles, and regulatory risk management objectives, while supporting local regulatory obligations and business needs.
Key Responsibilities Regulatory Compliance Leadership
Maintain and oversee GCLP's compliance program in accordance with applicable securities laws and regulatory requirements
Act as the designated Chief Compliance Officer under applicable Canadian securities regulations
Monitor regulatory developments and assess their impact on the organization
Lead regulatory examinations, audits, inquiries, and remediation initiatives
Governance and Risk Oversight
Provide independent challenge and oversight regarding compliance risks across the business
Develop and maintain compliance policies, procedures, and governance frameworks
Strengthen and operationalize the Three Lines of Defense model across the organization
Ensure effective compliance monitoring, testing, and issue management processes
Board and Executive Reporting
Prepare and present compliance reports to senior management, regulatory committees and CCO of Desjardins Group
Provide regular reporting on compliance risks, incidents, emerging regulatory developments, and remediation activities to Desjardins Group’s compliance team
Support management in maintaining a strong risk and compliance culture
Compliance Program Management
Oversee personal trading, conflicts of interest, gifts and entertainment, client complaint handling, market conduct, and registration compliance programs
Ensure effective compliance training and awareness programs are maintained throughout the organization
Implement and enhance compliance monitoring and surveillance activities
Strategic Leadership
Partner with executive leadership to support business initiatives while ensuring regulatory compliance
Contribute to enterprise governance, risk management, and integration initiatives
Collaborate with legal, risk management, operations, internal audit, and business leaders
Qualifications Education
Bachelor’s degree in Law, Finance, Business Administration, Accounting, Economics, or a related field
Advanced degree such as a JD, LLB, MBA, or Master's degree is considered an asset
Experience
Minimum 10 years of experience in compliance, legal, regulatory, risk management, or the securities industry
Minimum five years in a senior compliance leadership role
Experience within asset management, investment management, securities dealing, wealth management, or financial services
Direct experience interacting with securities regulators and leading regulatory examinations
English proficiency required; French proficiency is considered an asset.
Must satisfy the proficiency and experience requirements applicable to the Chief Compliance Officer of a Portfolio Manager and Investment Fund Manager under NI 31-103.
Completion of the Canadian Securities Course (CSC) and Canadian Compliance Course (CCC) or Chief Compliance Officers Qualifying Examination (CCO), or equivalent qualifications permitted under NI 31-103, is required.
Professional Designations One or more of the following is preferred:
Canadian Securities Course (CSC)
Chartered Financial Analyst (CFA)
Chartered Professional Accountant (CPA)
Certified Anti-Money Laundering Specialist (CAMS)
Chief Compliance Officer Qualifying Examination (CCOQE)
Strong knowledge of Canadian securities regulation and investment management compliance requirements
Demonstrated ability to influence executive leadership and Boards
Strategic mindset and strong business acumen
Excellent written and verbal communication skills
Strong analytical, judgment, and decision-making capabilities
Proven leadership and team management experience
Ability to operate effectively in a complex and evolving regulatory environment
Why Join Guardian Capital LP? This is an opportunity to lead compliance for a prominent Canadian institutional asset manager while helping shape the future compliance and governance framework of a growing international investment organization. The successful candidate will play a critical role in safeguarding the firm's reputation, supporting sustainable growth, and advancing regulatory excellence.
At Desjardins, we believe in equity, diversity, and inclusion. We're committed to welcoming, respecting, and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should reflect the diversity of the members, clients, and communities we serve.
If there's something we can do to help make the recruitment process or the job you're applying for more accessible, let us know. We can provide accommodations at any stage in the recruitment process. Just ask!
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Chief Compliance Officer in Toronto employer: Desjardins
Desjardins is an exceptional employer that fosters a collaborative and inclusive work culture, making it an ideal place for professionals looking to thrive in the legal field. With a strong emphasis on employee development and innovation, you will have the opportunity to lead a dedicated team while contributing to meaningful outcomes for clients and members. Located in a vibrant community, Desjardins offers competitive benefits and a commitment to diversity, ensuring that every employee feels valued and empowered.
