Manager, Regulatory Compliance Management

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We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Job Summary

TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support the RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program.

Job Responsibilities

Regulatory Compliance Management (RCM) and Issues Management

• Support the establishment of RCM program for TDS APAC Compliance in accordance with the enterprise RCM framework.

• Manage the Spring and Fall Regulatory Compliance Management (RCM) Risk Assessment process.

• Support the expansion of Core Compliance programs to existing and new business units.

• Develop consistent issues management framework for TDS APAC Compliance

• Implement and oversee issues management program and appropriate tracking/reporting of issues.

• Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.

• Manage aspects of the development and maintenance of the Firm's Regulatory Inventory and support Compliance in related activities including business mapping, control mapping and automation.

MERLIN Technology Solution

• Centralize/oversee the application of the firm's in-house system, Merlin, to TDS APAC Compliance activities. The Merlin system is being designed to support risk assessments, issues management, rules inventory, regulatory change, control mapping and monitoring and testing.

• Compliance lead on all MERLIN projects: Participate in MERLIN working groups, input and maintain Issues/MUCs affecting TDS Compliance

• Provide review and challenge for rules inventory and control mapping in Merlin.

• Liaise with Markets Compliance in Risk Assessment process and help connect process to rules inventory, control mapping and M&T in Merlin

Compliance Monitoring and Testing

• Assist in the development of annual testing plans and support the conduct of  Compliance Monitoring and Testing of TDS Business Units

• Liaise with other enterprise functions that conduct testing for continuity and alignment.

• Conduct complex testing engagements and help develop testing for newly acquired business areas.

• Manage various emerging and innovative compliance projects.

Required Qualifications

• A relevant degree, with at least 10 years of experience in relevant areas such as regulatory compliance, gained from top tier bank, fund/asset management or major consultancy/accounting firms (i.e., banking knowledge is required).

• Strong business and product knowledge in global markets, asset management and banking will be desirable.

• Strong knowledge of applicable Singapore and/or regional banking/capital market laws & regulations and competency in advising on regulatory and conduct matters is required.

• Regulatory compliance experience strongly preferred.

• The candidate must have analytical 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 diplomatically across all levels.

• A self-starter and quick learner who is proactive with the ability to quickly learn about the business and identify key issues, and to analyze appropriate information.

• Strong organizational and time management skills are required

• Tech-savvy and Proficient in Microsoft Visio, Excel, Access, Word, PowerPoint and other reporting tools. 

Who We Are

TD 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.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.

Our 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.

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
 
Colleague Development 
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
 

Interview Process 
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.