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 workplace 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

📌 Chief Compliance Officer (Toronto)
🏢 Desjardins
📍 Toronto