Manager, Regulatory Compliance Management

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Were 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:

*updated job description wef 14 Nov

Job Summary

TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This position is a newly created role on the APAC regulatory initiatives team to oversee and manage the implementation of key strategic programs including RCM and the ongoing transition to eGRC system.

Job Responsibilities

Regulatory Compliance Management (RCM) and Issues Management

• Support the establishment of RCM program for TDS APAC Compliance in accordance with the enterprise RCM framework and the 9 RCM Standards.

• Manage and execute the Regulatory Compliance Management (RCM) Risk Assessment process for APAC Compliance with first line business partners.

• Advise stakeholders on requirements of the RCM program in consultation with global standard owners where appropriate.

• Develop consistent issues management framework for TDS APAC Compliance.

• Implement/oversee issues management program conduct appropriate tracking/reporting of issues.

• Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.

• Manage aspects of the development and maintenance of the Firms Regulatory Inventory and support Compliance in related activities including business mapping control mapping and automation.

• Manage Quality Assurance and Internal Audit reviews on compliance to RCM Standards.

• Conduct training on RCM requirements

MERLIN and eGRC technology solution

• Centralize/oversee the application of the firms in-house system MERLIN to TDS APAC Compliance activities. The MERLIN system is the current system designed to support risk assessments issues management rules inventory regulatory change control mapping and monitoring and testing.

• Compliance lead on all eGRC projects: Participate inworking groups and forums and provide APAC requirements

• eGRC is the upcoming technology solution to replace MERLIN.

• Conduct and review data migration (for instance; regulatory inventory control mappings issues raised) from MERLIN to eGRC with Enterprise team.

• Roll out and implement requirements of eGRC for APAC Compliance

APAC Regulatory Initiatives

• Support APAC Head of Compliance on the delivery of strategic global initiatives impacting APAC and compliance projects for the region track and report to relevant stakeholders.

• Assist to develop and track APAC Compliance training plan.

• Manage reporting to regional and global risk and governance committees and Boards.

• Draft and update compliance mandate applicable policies and procedures.

Required Qualifications

• A relevant degree with at least 10 years of experience in relevant areas such as regulatory compliance gained from top tier bank or financial institution.

• Strong business and product knowledge in global markets and banking preferred.

• 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 compliance experience strongly preferred.

• 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 is one of the worlds 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 95000 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 youve 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 were 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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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.