Senior Compliance Testing Analyst

Work Location:

Hours:

Line of Business:

Pay Details:

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:

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 TDs 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 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.