Manager, Governance & Control Regulatory Compliance Manager

Work Location :
Singapore, Singapore

Hours:
40

Line of Business:
Governance & Control

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:

DEPARTMENT OVERVIEW

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design, implementation, maintenance, and monitoring of effective internal controls to ensure business activities remain within TD Bank's risk appetite and comply with regulatory requirements.

The team is responsible for overseeing the timely and consistent implementation - across all TDS businesses - of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement Enterprise and TDS policies, frameworks, methodologies, standards, and practices and are key members of enterprise projects / programs requiring TDS representation.

JOB DESCRIPTION

This role reports into Director, TDS Head of Asia Pacific G&C and has global alignment into Managing Director, TDS Head of Regulatory Programs. The primary role of the Manager, G&C Regulatory Compliance Management (RCM) is to support TDS businesses in adhering to applicable RCM Standards requirements, managing risk, and having effective operational RCM controls in place. The role will liaise between team members, cross functional teams across various geographies, business, and technology stakeholders to ensure deliverables, requirements, schedules, meeting plans and associated change activities are planned, communicated, and delivered.

As part of the key accountabilities of the role, the individual will be expected to:

• Support all elements of the TDS RCM program, including update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Support the semi-annual Regulatory Compliance Management Risk Assessment (RCMRA), coordinating required activities and input from TDS 1A partners, submissions to Compliance, and overseeing completion of any related action plans.
• Liaise with business and governance partners to implement TDS RCM Program changes and act as main contact for TDS RCM inventories, processes, and Issues Management in the MERLIN application, including update, input, and maintenance of TDS RCM Laws, Rules, & Regulation (LRR) and control inventories and issues management records, and cascading to non-TDS business segments as required.
• Maintain a comprehensive understanding of existing and emerging regulatory change requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Escalate and report RCM issues to Senior Manager, prepare TDS RCM reporting as required.
• Participate in TDS and enterprise RCM committees, meetings, or programs.
• Assist in providing support to the global RCM monitoring and testing program by partnering regional stakeholders to obtain, review and challenge the evidence of compliance to the regulatory requirements.
• Respond to requests (including New Business and Product, and Risk Acceptance) in a timely manner.
• Recognize emerging TDS RCM trends, issues, and opportunities, and recommend actions to management.
• Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment.

JOB REQUIREMENTS

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Solid knowledge of compliance governance, compliance management practices, enterprise compliance policy, standards & strategy.
• Minimum 4 years of Compliance, Risk, and/or Audit experience (financial services industry preferred).
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Ability to attend meetings and conduct training during Singapore morning/evening hours.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.

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.

Job ID R_1373583