Associate / Manager - Compliance Business Oversight

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:

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. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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.