Senior Compliance Governance

Description

Reporting to the Team Lead for TD Securities Core Compliance Advisory, the incumbent's role and responsibilities include:

Responsible for all testing activities in Asia-Pacific

Design and perform testing and desk reviews to review compliance with applicable laws, rules and regulations ('LRRs') in accordance with TD's RCM framework and requirements.

Drafting and preparing of Compliance testing reports and relevant supporting book of work to evidence work/review done that are aligned to all internal TD policies including RCM related requirements.

Meeting the testing deadlines set out in the approved annual Monitoring & Testing Plan for APAC. 

Must have a minimum of 5 years of relevant practical and ongoing experience in Testing and to be the SME lead in testing.

Assist in monitoring activities in Asia-Pacific

Review, investigate and escalate irregularities and non-compliant activities arising from the Communication Surveillance and Personal Account Dealing reviews performed by Global Control Room and Global Trade Surveillance teams.

Review alerts in Trade Surveillance systems and ensure timely escalation, documentation and closure of cases reviewed,

Prepare Management Reporting on a regular basis relating to key trends and violations.

Support RCM (Regulatory Compliance Management) Programme for Asia-Pacific

Conduct regulatory gap analysis and review against the RCM Standards for incorporation into Compliance Manuals and procedures on ongoing basis

Keeping abreast of and develop strong competency in applicable Singapore LRRs to support the Business in control mapping

Developing Monitoring & Testing Plans for APAC that are aligned to RCM monitoring/testing requirements

Perform Compliance related roles and activities in the MERLIN Enterprise system, including but not limited to Issues Management, Monitoring and Testing, LRR mapping and risk rating review and Reporting.

Managing Global and Regional including Singapore Policies and Procedures

Support the ongoing review and maintenance of Compliance Manuals, policies and procedures.

Represent APAC for global policy reviews and updates.

Participate and contribute to Global Initiatives and Workstream meetings

Participate in Global Trade Surveillance and Global Control Room Workstream meetings, including escalation of regional APAC issues, provide challenge and oversight, and tracking and implementation of Global initiatives for the region.

Support Japan, Hong Kong, Australia and rep offices in APAC in the roll-out of all new processes, their related policies and procedures and systems.

Providing Core Compliance Advisory advice to the Business and all Support and Control Functions

Provide advice on regulatory matters including but not limited to Outsourcing, Technology Risk Management, Business Continuity Management, Conduct Risk and Employee Compliance related activities.

Timely support of Core Compliance deliverables including regulatory liaison, internal and external reporting, and incident reporting and investigations

Contribute to the development of the APAC training plan and conduct training as required

Required Qualifications & Attributes:

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

Have prior experience in the capacity as a SME for Testing and Employee Compliance in a MAS regulated Financial Institution.

Business and product knowledge in global markets, asset management and banking will be desirable.

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

The candidate must have analytical and good English writing 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 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 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.