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 ResponsibilitiesRegulatory 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

QualificationsEducation

• 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 31-1