Compliance Governance Specialist

1 month ago


Singapore TD (South East Asia) Limited Full time

Job Summary:

TD (South East Asia) Limited is seeking a highly skilled Compliance Governance Specialist to join our team in South East Asia. In this role, you will be responsible for providing expert guidance on regulatory matters, ensuring compliance with applicable laws and regulations, and developing monitoring and testing plans to mitigate risks.

About the Role:

  • You will report to the Team Lead for TD Securities Core Compliance Advisory and work closely with cross-functional teams to ensure effective implementation of compliance programs.
  • With a strong understanding of regulatory requirements and industry standards, you will design and perform testing and desk reviews to identify potential compliance gaps and develop strategies to address them.
  • As a subject matter expert, you will provide advice on regulatory matters, including outsourcing, technology risk management, business continuity management, conduct risk, and employee compliance activities.
  • You will also be responsible for drafting and preparing compliance testing reports and relevant supporting documentation, as well as contributing to the development of the APAC training plan and conducting training sessions as required.

Requirements:

  • A relevant degree and at least 10 years of total experience in central core compliance, gained from top-tier banks, fund/asset management, or major consultancy/accounting firms.
  • Prior experience as a SME for Testing and Employee Compliance in a MAS-regulated financial institution is essential.
  • 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), and organizational abilities are essential.
  • A self-starter and quick learner who can quickly learn about the business, identify key issues, and process/analyze relevant information.
  • Ability to interact professionally and tactfully across all levels.

Estimated Salary: $120,000 - $180,000 per annum, depending on experience.

Location: South East Asia

About Us:

TD (South East Asia) Limited is one of the world's leading global financial institutions, with a presence in Canada, the United States, and around the world. We deliver legendary customer experiences to over 27 million households and businesses, and we're committed to enriching the lives of our customers, communities, and colleagues.



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