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:

Position Summary

As a member of the Asia-Pacific Compliance team, the role of the APAC Compliance Officer will be to help ensure TD Bank and TD Securities identify and meet their regulatory obligations in the Asia-Pacific region primarily focused on Singapore, through:

• Assisting the Associate Vice President & Compliance Advisory APAC based in Singapore to protect the interests of TD Bank and TD Securities in Asia-Pacific.

• Providing compliance oversight of specific business lines in the APAC Global Markets and Corporate Investment Banking businesses on issues relating to business and market conduct compliance.

• Implementation of compliance strategies and practices as directed.

• Working in partnership with regional and global Compliance counterparts for ad-hoc projects including preparing and delivering compliance training materials.

• Providing business compliance advice to the global markets and banking businesses including: advising on regulatory requirements, providing guidance on market and business law, rules and regulations to manage compliance, regulatory and business and market conduct risks.

• Managing global and local business advisory policies including drafting compliance policies which encompass Singapore and other APAC regulatory expectations and obligations to support various businesses within TD Bank and TD Securities.

Responsibilities:

• Maintain up-to-date knowledge and understanding of regulatory requirements and developments as well as industry practices that affect the APAC businesses of TD Bank and TD Securities.

• Ensure globally coordinated messaging to the business, including business queries, change management requests, policy updates, training, risk assessments, compliance reviews and compliance processes.

• Support stakeholders and assist business with regulatory implementation through the performance of gap assessment and ensuring timely responses to assist the business with the smooth implementation of business initiatives.

• Ensure timely execution on tasks and actions, or where necessary, appropriate expectation management.

• Ensure appropriate independence, robustness, risk awareness and escalation.

• Assist various businesses of TD Bank and TD Securities in their adherence to internal policies/procedures, industry best practice and applicable regulatory guidelines.

• Develop and update Compliance policies, procedures, manuals, and programs as necessary to reflect changes in business practices, regulatory changes and industry requirements.

• Participate in TD Securities and TD Bank Group Global Conference Calls as required;

• Provide business compliance advisory training as required.

Required Qualifications, Skills and Experience:

• Minimum of 10 years of demonstrated relevant experience in the industry.

• Good understanding of Equities markets, products and business practices with at least 3 years of product experience. Ideally additional in-depth knowledge of one or more areas of Fixed Income.

• To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.

• Knowledge of major industry regulations and best practices.

• Be familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.

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.