Senior Compliance Governance Specialist

4 weeks ago


Singapur, Singapore TD (South East Asia) Limited Full time

Job Summary

We are seeking a highly skilled Regulatory Compliance Expert to join our team at TD (South East Asia) Limited. The successful candidate will be responsible for monitoring activities in Asia-Pacific, reviewing and investigating irregularities, and providing advice on regulatory matters.

Key Responsibilities

  • Review and investigate irregularities and non-compliant activities arising from Communication Surveillance and Personal Account Dealing reviews.
  • Provide advice on regulatory matters, including Outsourcing, Technology Risk Management, Business Continuity Management, Conduct Risk, and Employee Compliance.
  • Support the development of the APAC training plan and conduct training as required.
  • Represent APAC for global policy reviews and updates.
  • Participate in Global Trade Surveillance and Global Control Room Workstream meetings.

Requirements

  • A relevant degree, with at least 10 years of total experience in relevant areas such as central core compliance.
  • 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 & regulations.
  • Excellent analytical and English writing skills, with experience in effectively processing information on various subjects.

About Us

TD (South East Asia) Limited is one of the world's leading global financial institutions, with a commitment to delivering legendary customer experiences. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues.



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