Senior Compliance Governance Specialist
1 week ago
We are seeking a highly skilled Senior Compliance Governance Specialist to join our team at TD Bank Group. In this role, you will be responsible for ensuring that our business operations are in compliance with all relevant laws, regulations, and internal policies.
Key Responsibilities
* Design and perform testing and desk reviews to review compliance with applicable laws, rules, and regulations ('LRRs') in accordance with TD's RCM framework and requirements.
* Drafting and preparing of Compliance testing reports and relevant supporting book of work to evidence work/review done that are aligned to all internal TD policies including RCM related requirements.
* Meeting the testing deadlines set out in the approved annual Monitoring & Testing Plan for APAC.
* Assist in monitoring activities in Asia-Pacific, including reviewing, investigating, and escalating irregularities and non-compliant activities arising from the Communication Surveillance and Personal Account Dealing reviews performed by Global Control Room and Global Trade Surveillance teams.
* Support RCM (Regulatory Compliance Management) Programme for Asia-Pacific, including conducting regulatory gap analysis and review against the RCM Standards for incorporation into Compliance Manuals and procedures on an ongoing basis.
* Managing Global and Regional including Singapore Policies and Procedures, including supporting the ongoing review and maintenance of Compliance Manuals, policies, and procedures.
* Participate and contribute to Global Initiatives and Workstream meetings, including participating in Global Trade Surveillance and Global Control Room Workstream meetings, including escalation of regional APAC issues, provide challenge and oversight, and tracking and implementation of Global initiatives for the region.
Requirements
* A relevant degree, with at least 10 years of total experience in relevant areas such as central core compliance, gained from top-tier bank, fund/asset management, or major consultancy/accounting firms (i.e., banking knowledge is required).
* Have prior experience in the capacity as a SME for Testing and Employee Compliance in a MAS regulated Financial Institution.
* Business and product knowledge in global markets, asset management, and banking will be desirable.
* Strong knowledge of and competency in applicable Singapore and/or regional banking/capital market laws & regulations, advising on regulatory and conduct matters.
* The candidate must have analytical and good English writing skills with experience in effectively processing information on various subjects.
* Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential.
* Able to interact professionally and tactfully across all levels.
* A self-starter and quick learner who has the ability to quickly learn about the business, identify key issues, and process/analyze relevant information.
* Able and willing to represent APAC and attend global calls with head office based on North American time zones.
* Strong organizational and time management skills are required.
* Tech-savvy and Proficient in Microsoft Visio, Excel, Access, Word, PowerPoint, and other reporting tools.
About TD Bank Group
TD Bank Group is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues.
Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
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