Senior Compliance Governance Specialist

1 month ago

Singapur, Singapore TD (South East Asia) Limited Full time
Job Title: Senior Compliance Governance Specialist

TD (South East Asia) Limited is seeking a highly skilled Senior Compliance Governance Specialist to join our team in Asia-Pacific. As a key member of our Compliance team, you will be responsible for ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.

Key Responsibilities:
  • Monitor and investigate compliance risks and irregularities in Asia-Pacific, and escalate to senior management as necessary.
  • Review and analyze trade surveillance systems and ensure timely escalation, documentation, and closure of cases.
  • Prepare management reports on key trends and violations, and provide recommendations for improvement.
  • Assist in testing activities in Asia-Pacific, including design and performance of testing and desk reviews.
  • Support the Regulatory Compliance Management (RCM) Programme for Asia-Pacific, including conducting regulatory gap analysis and reviewing compliance manuals and procedures.
  • Manage global and regional policies and procedures, including supporting the ongoing review and maintenance of compliance manuals.
  • Participate in global initiatives and workstream meetings, including escalation of regional APAC issues and tracking and implementation of global initiatives.
  • Provide core compliance advisory advice to the business and all support and control functions, including regulatory liaison, internal and external reporting, and incident reporting and investigations.
Requirements:
  • A relevant degree, with at least 10 years of total experience in relevant areas such as central core compliance, gained from top-tier banks, funds, or major consultancy/accounting firms.
  • Prior experience in the capacity as a SME for Monitoring (including surveillance) and Testing and Employee Compliance in a MAS-regulated financial institution.
  • Strong knowledge of and competency in applicable Singapore and/or regional banking/capital market laws and regulations, advising on regulatory and conduct matters.
  • Excellent analytical and English writing skills, with experience in effectively processing information on various subjects.
  • Strong interpersonal, communication (written and presentation) skills and organizational abilities.
  • 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.
  • Tech-savvy and proficient in Microsoft Visio, Excel, Access, Word, PowerPoint, and other reporting tools.
About Us:

TD is one of the world's leading global financial institutions, with a presence in Canada, the United States, and around the world. We are committed to delivering legendary customer experiences and enriching the lives of our customers, communities, and colleagues.

We offer a competitive total rewards package, including a base salary, health and well-being benefits, paid time off, career development, and reward and recognition programs. We are committed to providing the support our colleagues need to thrive both at work and at home.

If you are interested in a specific career path or want to build certain skills, we want to help you succeed. You will have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and mentoring programs.

We will provide training and onboarding sessions to ensure that you have everything you need to succeed in your new role.

We are an equal opportunities employer and welcome applications from diverse candidates. If you require an accommodation for the recruitment/interview process, please let us know and we will work with you to meet your needs.

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