Senior Compliance Officer

Job summary

Oversee compliance monitoring and testing, including reviewing marketing materials and sales practices, monitoring communications, and supporting regulatory filings and registrations. Support trade compliance, regulatory exams, audits, compliance reporting, policy updates, training, and emerging areas such as the use of AI in asset management.

Job details

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.

What you’ll do

Oversee compliance monitoring and testing, including reviewing marketing materials and sales practices, monitoring communications, and supporting regulatory filings and registrations. Support trade compliance, regulatory exams, audits, compliance reporting, policy updates, training, and emerging areas 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 and compliance experience related to NI 81-102 and NI 81-105. Candidates should have strong communication and organizational skills, be able to work independently and collaboratively, and have working knowledge of Microsoft Office; Canadian securities courses are also listed.

Listed skills

• Regulatory Compliance · Preferred
• Microsoft Word · Preferred
• Microsoft Excel · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory Compliance
• Investment Management Compliance
• Marketing Materials Review
• Sales Practices Monitoring
• Electronic Communications Monitoring
• Social Media Monitoring
• Compliance Testing
• Regulatory Filings
• Investment Fund Monitoring
• Trade Compliance
• Risk Assessment
• Regulatory Exam Support
• Compliance Reporting
• Policy and Procedure Development
• Microsoft Word
• Microsoft Excel

Job areas

• Finance & Accounting
• Legal
• Management & Leadership

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