Jobs in Canada

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Added 3 mins ago
MR
Part-Time Sales Associate
Match Retail
Calgary, AB
- Part-time
Match Retail is a leading sale, merchandising and branded retail agency working for major brands across North America. Inspired by an endless desire to help transform brands so they can be…
Added 3 mins ago
MR
Part-Time Sales Associate
Match Retail
Mississauga, ON
- Part-time
Match Retail is a leading sale, merchandising and branded retail agency working for major brands across North America. Inspired by an endless desire to help transform brands so they can be…
Added 3 mins ago
TS
TDS Operations Analyst III
TD Securities
Toronto, ON
- Full-time
Retail and Non-Negotiable: Responsible for compliance tracking, servicing foreign currency loans for the enterprise, and providing general banking support.
Added 33 mins ago
LC
Specialist, Flyer Production (12+ Month Contract)
Loblaw Companies Limited
Toronto, ON
- Full-time
Reporting directly to the Senior Manager Flyer Production. The incumbent is responsible to ensure the accurate, timely, and efficient production of promotional flyers by managing content,…
Added 33 mins ago
R
Design Manager
Raise
Calgary, AB
- Full-time
Raise is currently hiring a Design Manager on behalf of our client. They’re expanding their team to meet growing needs, making this a unique opportunity to work with an industry leader. Our…
Added 33 mins ago
L
Senior Manager, Product and Operations, AI/ML Science
lululemon
Vancouver, BC
- Full-time
…capabilities, and AI solutions across lululemon’s vertically integrated retail ecosystem, embedding strong data governance and responsible AI practices from the very…
Added 33 mins ago
HR
Beauty Advisor - Jo Malone London
Holt Renfrew
Toronto, ON
- Full-time
Maintain solid relationships with buyer, vendor, and selling manager
Added 33 mins ago
SH
Assistant Manager I
Sunglass Hut
Ottawa, ON
- Full-time
The Assistant Manager I is a core member of the leadership team that drives Sunglass Hut's success. The Assistant Manager I works in partnership with the Store/Multi Store Manager to…
Added 1 hour ago
CS
Senior Account Manager
Clever Samurai
Mississauga, ON
- Full-time
Clever Samurai is seeking an experienced, commercially minded Senior Account Manager to manage client relationships and lead the successful delivery of marketing and communications programs…
Added 1 hour ago
Multi Store Manager
EssilorLuxottica Group
Mississauga, ON
The Market Manager- Sun drives results, oversees a group of stores within a region, and reports to the regional manager. The Market Manager supports the team to succeed on all measures and…
Added 1 hour ago
Stock Associate-Retail
Roots
Sudbury, ON
Roots is not only a brand, it’s a culture and lifestyle. We look for dynamic individuals who are not only interested in retail and fashion, but who enjoy challenges and share our vision for…
Added 1 hour ago
TH
District Asset Protection Manager
The Home Depot Canada
ON · Ontario, Canada
- Full-time
Must have experience as an Asset Protection Specialist Supervisor for a minimum 1 year · Must have access to a vehicle
Added 1 hour ago
TH
Loss Prevention Specialist Full Time
The Home Depot Canada
Toronto, ON
- Full-time
Must have access to a vehicle
Added 1 hour ago
TH
Merchandising Execution Project Associate : Full Time - FORT McMURRAY
The Home Depot Canada
Fort McMurray, AB
- Full-time
Merchandising Execution Project Associates (MEPA) will support in store activities perform in-store merchandising service activities such as merchandising projects, planogram maintenance,…
Added 1 hour ago
T
Personal Banker - Future Opportunities
TD
Parry Sound, ON · Orillia, ON · Collingwood, ON · Gravenhurst, ON · Huntsville, ON · Meaford, ON · Penetanguishene, ON · Bracebridge, ON · Midland, ON · Thornbury, ON · Stayner, ON · Coldwater, ON
- Full-time
…creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that…
Added 1 hour ago
C
Hourly Front of House Supervisor
Cineplex
Winnipeg, MB · Seasons of Tuxedo TRR
- Part-time
…Room Seasons of Tuxedo, reporting to the Assistant General Manager. This position will be based at our The Rec Room Seasons of Tuxedo, 696 Sterling Lyon Parkway Winnipeg,…
Added 1 hour ago
TH
Asset Protection Specialist Full-Time - 7052 Regina
The Home Depot Canada
Regina, SK
- Full-time
Must have access to a vehicle
Added 1 hour ago
GC
Senior Compliance Officer
Guardian Capital Group
Toronto, ON
- Full-time
…which provides investment management services to institutional, retail and private high and ultra-high-net-worth clients through its subsidiaries. Guardian is headquartered in Canada and…
Added 1 hour ago
TH
Head Cashier Part Time (RICHMOND HILL)
The Home Depot Canada
Richmond Hill, ON
- Part-time
Walk front end from the customer experience perspective daily, ensuring Grand Opening readiness, ad execution (per Playbook) and flyer readiness.
Added 2 hours ago
S
Operations Lead - Full Time
Sephora
Winnipeg, MB
- $20.8 to $24.45 CAD / hour
- Full-time
…overnight stock team, operations leadership team and the overall execution of…
Added 2 hours ago
Client Experience and Services Manager, Stores
Sephora
Thunder Bay, ON
As the next Client Experience & Beauty Services Manager at Sephora, you will directly influence the client experience and overall store performance. This dual-focused role leads both the…
Added 2 hours ago
TH
Merchandising Execution Project Associate : Full Time - FORT McMURRAY
The Home Depot
Fort McMurray, AB
- Full-time
Merchandising Execution Project Associates (MEPA) will support in store activities perform in-store merchandising service activities such as merchandising projects, planogram maintenance,…
Added 2 hours ago
MR
Part-Time Sales Associate
Match Retail
AB · Calgary, AB
- $22 CAD / hour
- Part-time
Match Retail is a leading sale, merchandising and branded retail agency working for major brands across North America. Inspired by an endless desire to help transform brands so they can be…
Added 2 hours ago
T
Customer Experience Associate - Spanish and/or Korean Language Skills an Asset
TD
Vancouver, BC
- Part-time
…creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that…
Added 2 hours ago
T
TDS Operations Analyst III
TD
Toronto, ON
- Full-time
Retail and Non-Negotiable: Responsible for compliance tracking, servicing foreign currency loans for the enterprise, and providing general banking support.

Guardian Capital Group

Senior Compliance Officer

Toronto, ON, Canada

Full-time

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Job details

Job type: Full-time
Apply by: Dec 12, 2026
Experience: 5-10 years of experience in the financial services or investment industry,
Posting language: English
Posted: Nov 12, 2026

Original job description

COMPANY STATEMENT:

Founded in Toronto in 1962, Guardian Capital Group Limited (Guardian) is a global financial services company, which provides investment management services to institutional, retail and private high and ultra-high-net-worth clients through its subsidiaries. Guardian is headquartered in Canada and operates in Canada, the United Kingdom, the United States and the Caribbean. Guardian is a wholly owned subsidiary of Desjardins Global Asset Management Inc., which is part of the Desjardins Group. To learn more about Guardian, visit www.guardiancapital.com.

JOB STATEMENT:

The Senior Compliance Officer will work with Guardian Capital LP (“GCLP”), a registered Portfolio Manager and Investment Fund Manager, and occasionally some of its affiliates, to help ensure that compliance expectations and requirements are consistently met. More specifically, the Senior Compliance Officer will help to ensure that GCLP is successfully completing an ever expanding list of compliance oversight and monitoring tasks derived from mandates and policies put forward by GCLP, GCG and the applicable securities regulators. The Senior Compliance Officer will be independently responsible for various functions and must be able to effectively manage competing priorities and duties, think critically and put in place solutions to issues that arise.

ESSENTIAL FUNCTIONS:

Responsible for the review and approval of marketing materials, and monitoring of compliance with NI 81-102, Part 15 Sales Communications;
Responsible for the review and approval of various sales practices initiatives, and monitoring of compliance with NI81-105 - Sales Practices;
Responsible for the ongoing monitoring and review of electronic communications and social media platforms used by GCLP employees;
Responsible for the annual compliance testing program;
Contribute to execution of the Compliance program through quarterly and annual monitoring and reporting, to ensure that policies and procedures are operating effectively;
Responsible for gathering data, preparing materials for review and assisting with the completion of regulatory filings for investment funds and regulated entities;
Assisting with the preparation and facilitate the filing of individual and firm registration, as well as ongoing updates, with securities regulators in Canada (NI31-103);
Assisting with the implementation of compliance monitoring in evolving areas of investment management, such as the use of AI in asset management;
Providing support, as needed, in responding to regulatory exams, risk questionnaires and external audits;
Providing support, as needed, for monitoring trade compliance of Guardian Capital Funds and ETFs, in compliance with NI 81-102, Part 2 – Investments, which may include the oversight of the use of derivatives (futures, hedging, etc.), currency forwards, shorting and/or, fund-of-funds/IPU monitoring;
Providing ad-hoc support, as needed, with Cross Trade requests and any Trade/NAV Errors incidents;
Assisting with preparing compliance reporting for various executive committees;
Supporting the continued application and updating of various compliance procedures across business activities, as well as the associated training initiatives of the Compliance Department;
Assisting the Compliance Department with projects as required; and
Interact effectively and collaboratively with other Guardian business units and staff.

QUALIFICATIONS:

Post-secondary education
5-10 years of experience in the financial services or investment industry,
Working knowledge and compliance experience with NI81-102 and NI81-105
Completion of Canadian Securities Course, Conduct and Practices Handbook Course and/or Investment Funds in Canada Course
Excellent oral and written communication skills
Excellent organization skills, self-motivated and the ability to work independently
Ability to work effectively and efficiently within a team-oriented environment
Results oriented, dependable, and adaptable to change
Working knowledge of Microsoft Word, Excel and Power Point

COMPENSATION:

The base salary range is expected to be between $100,000 - $130,000, with eligibility for a discretionary bonus.

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More about this job

Responsibilities

Oversee compliance monitoring and testing, including reviewing marketing materials, sales practices, employee communications, investment fund trades, and regulatory filings. Support regulatory examinations, audits, compliance reporting, policy updates, training, and emerging compliance initiatives such as the use of AI in asset management.

Requirements

Requires post-secondary education and 5–10 years of experience in financial services or investment management, with working knowledge of NI 81-102 and NI 81-105. Candidates should have relevant Canadian securities coursework, strong communication and organizational skills, the ability to work independently and collaboratively, and working knowledge of Microsoft Office.

Skills

Regulatory Compliance
Marketing Materials Review
Sales Practices Monitoring
Electronic Communications Monitoring
Social Media Monitoring
Compliance Testing
Regulatory Filings
Registration Management
Trade Compliance
Risk Assessment
Regulatory Examinations
Compliance Reporting
Microsoft Word
Microsoft Excel
Microsoft PowerPoint

Visa sponsorship

Not detected in the job text

Keywords

Investment Management
Portfolio Manager
Investment Fund Manager
Regulatory Compliance
NI 81-102
NI 81-105
NI 31-103
Sales Communications
Sales Practices
Compliance Monitoring
Compliance Testing
Regulatory Filings
Canadian Securities Course
Conduct and Practices Handbook Course
Investment Funds in Canada Course
Marketing Materials
Electronic Communications
Social Media
Trade Compliance
Derivatives
Futures
Currency Forwards
Short Selling
Cross Trades
NAV Errors
Regulatory Examinations
External Audits
Risk Questionnaires
Artificial Intelligence
Microsoft Word

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Work requirements

Jobs in Canada