Work Location:

Hours:

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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:

The Head of Core Compliance – APAC will be responsible for overseeing and managing the core compliance functions across the APAC region. This includes ensuring that the organization adheres to relevant local, regional, and global laws and regulations. The role involves leadership and strategic oversight of compliance programs, maintaining a strong compliance culture, and mitigating risk across all APAC operations.

Key Responsibilities:

Manage and mentor a team of compliance professionals, providing guidance and support to ensure high performance and effective execution of the compliance program.

Provide strategic direction and support to senior management and business units to ensure compliance initiatives are effectively executed. Identify and assess compliance risks and recommend mitigation strategies.

Drive the implementation and provide advisory for key regulatory matters including Outsourcing Guidelines, Individual Accountability, Appointment of Directorship, Related Party Transactions, Cross-Border, Breach Assessments, Employee Compliance related activities such as Licensing & Registration and Conduct Framework.

Provide sound and coherent compliance advice, interpretation and recommendations on new/updated regulations, policies, new products and business initiatives.

Identify, assess and implement regulatory changes.

Design and carry out a robust risk-based compliance testing and desk reviews program that effectively identifies and mitigates regulatory risks; meet testing deadlines set out in the approved annual Monitoring & Testing Plan for APAC.

Manage trade and communications surveillance activities arising from Global Control Room and Global Surveillance teams, along with Personal Account Dealing reviews, and oversee investigations into any related breaches.

Perform annual Compliance Risk Assessment for the branch.

Timely support of Core Compliance deliverables including regulatory liaison, internal and external reporting, and incident reporting and investigations.

Build strong relationships with key stakeholders, including senior leadership, business units, legal, internal audit, and external advisors.

Contribute to the development of the APAC training plan and conduct training as required.

Participate in Global Initiatives and Workstream meetings, including escalation of regional APAC issues, provide challenge and oversight, and tracking of and implementation of Global initiatives for the region.

Support regional offices in APAC in the roll-out of new processes, and their related policies and procedures and systems.

Required Qualifications:

A relevant degree, with at least 15 years of experience in regulatory compliance gained from top tier bank, or major consultancy/accounting firms, or the regulator (banking knowledge is required)

Strong business and product knowledge in global markets and banking will be desirable.

Strong knowledge of and competency in applicable Singapore and/or regional banking/capital market laws & regulations and competency in advising on regulatory and conduct matters.

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.

Able and willing to represent APAC and attend global calls with head office based on North American timezones.

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 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.