Lead compliance strategy at Guardian Capital LP through regulatory oversight, governance, and monitoring within Desjardins Global Asset Management. Support Canadian securities obligations. As Chief Compliance Officer, you will design, implement, oversee, and enhance GCLP’s compliance management framework. You will advise senior management, provide independent regulatory risk oversight, and align local obligations with Desjardins Group’s global compliance strategy. The position leads governance, testing, reporting, and compliance risk management practices. Key Responsibilities:
Oversee GCLP’s compliance program under Canadian securities requirements Monitor regulatory developments and assess organizational impact Lead examinations, audits, inquiries, and remediation initiatives Maintain compliance policies, procedures, and governance frameworks Present compliance reporting to executives and regulatory committees Requirements:
Bachelor’s degree in law, finance, business, accounting, economics, or related field Minimum 10 years’ compliance, legal, regulatory, risk, or securities experience Minimum five years in senior compliance leadership Asset management or financial services experience CSC and CCC, CCO examination, or permitted equivalent required Apply regulatory judgment, executive influence, and securities expertise to strengthen Guardian Capital LP’s compliance framework and governance.
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Chief Compliance Officer Asset Management 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.
