Chief Compliance Officer Asset Management
Desjardins
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 requirementsMonitor regulatory developments and assess organizational impactLead examinations, audits, inquiries, and remediation initiativesMaintain compliance policies, procedures, and governance frameworksPresent compliance reporting to executives and regulatory committeesRequirements:
Bachelor’s degree in law, finance, business, accounting, economics, or related fieldMinimum 10 years’ compliance, legal, regulatory, risk, or securities experienceMinimum five years in senior compliance leadershipAsset management or financial services experienceCSC and CCC, CCO examination, or permitted equivalent requiredApply regulatory judgment, executive influence, and securities expertise to strengthen Guardian Capital LP’s compliance framework and governance.
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Oversee GCLP’s compliance program under Canadian securities requirementsMonitor regulatory developments and assess organizational impactLead examinations, audits, inquiries, and remediation initiativesMaintain compliance policies, procedures, and governance frameworksPresent compliance reporting to executives and regulatory committeesRequirements:
Bachelor’s degree in law, finance, business, accounting, economics, or related fieldMinimum 10 years’ compliance, legal, regulatory, risk, or securities experienceMinimum five years in senior compliance leadershipAsset management or financial services experienceCSC and CCC, CCO examination, or permitted equivalent requiredApply regulatory judgment, executive influence, and securities expertise to strengthen Guardian Capital LP’s compliance framework and governance.
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Vacancy posted 2 hours ago
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