Chief Compliance Officer

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)
• Canadian Investment Manager (CIM)
• Chief Compliance Officer Qualifying Examination (CCOQE)

Key Competencies

• 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.

Application information

To apply, click the link below to submit your résumé and cover letter. You will be directed to the Desjardins Careers site to create a profile and complete your application.

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!