Senior Compliance Governance Specialist
1 month ago
We are seeking a highly skilled Senior Compliance Governance Specialist to join our team at TD Bank Group. 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:- Design and perform testing and desk reviews to review compliance with applicable laws, rules, and regulations.
- Draft and prepare compliance testing reports and relevant supporting documentation.
- Meet 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.
- Support the RCM (Regulatory Compliance Management) Programme for Asia-Pacific, including conducting regulatory gap analysis and reviewing against RCM Standards.
- Manage global and regional policies and procedures, including supporting the ongoing review and maintenance of Compliance Manuals, policies, and procedures.
- Participate in global initiatives and workstream meetings, including participating in Global Trade Surveillance and Global Control Room Workstream meetings.
- A relevant degree, with at least 10 years of total experience in relevant areas such as central core compliance, gained from top-tier banks, fund/asset management, or major consultancy/accounting firms.
- Prior experience in the capacity as a SME for 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 & 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.
TD Bank Group is one of the world's leading global financial institutions, with a commitment to delivering legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world. 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, paid time off, career development, and reward and recognition programs.
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