Work Location:

Hours:

Line of Business:

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:

Reporting to the Head of Core Compliance, the incumbent support the Head of Core Compliance in the execution of the Monitoring and Testing program for Asia-Pacific (APAC). 

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.

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

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,

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

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

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

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

Managing Global and Regional Processes, Initiatives and Workgroups

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.

Assist the teams in Japan, Hong Kong, Australia, and other APAC representative offices with implementing any new processes, policies, procedures, or systems that are connected to monitoring and testing

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

Timely support of Core Compliance deliverables including internal, external reporting 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).

Must have a minimum of 5 years of 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

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.