Associate / Manager - Compliance Business Oversight

Work Location :

Singapore, Singapore Hours:

40 Line of Business:

Compliance Pay Details:

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:

This is a 9-month contract role for maternity coverage.

Job Description

Reporting to the APAC Head of Business Advisory, the incumbent will act as a Business Compliance Advisory partner, providing subject matter expertise, independent challenge and strategic guidance to the front office and key stakeholders across APAC.

Business Compliance Advisory to Global Markets & Banking Businesses

• Provide compliance interpretation and advisory to businesses on regulatory requirements, guidance on laws, rules and regulations to manage compliance, regulatory, and business and market conduct risks.
• Provide challenge and oversight as Compliance Subject Matter Expert in the roll-out of new products and services, and their related policies and procedures.
• Monitor APAC business and market conduct regulatory changes, new regulations and internal policy changes.
• Provide support in the ongoing and effective implementation and BAU activities related to the Regulatory Change Management program from an advisory perspective.

New Products, Business Initiatives & Strategic Projects

• Provide compliance advisory throughout the new business/product approval process and business initiative lifecycle.
• Act as Compliance SME on regional and global initiatives, to perform impact assessments and advise on regulatory, compliance and operational impact, and ensure compliance requirements are embedded into business processes and controls.
• Participate in relevant business and governance forums, providing regulatory and compliance inputs on change initiatives.

Global and Singapore Compliance Advisory Policies

• Periodically draft, review and maintain Compliance policies and procedures to support APAC business activities and ensure alignment with regulatory expectations.
• Key stakeholder representing APAC and Singapore for global policy reviews and updates.
• Design and deliver targeted Compliance training for front office and supported functions where relevant.

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 experience preferred but not required.
• 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 Securities 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. Mo