Manager - Compliance Business Oversight

Work Location:
Singapore, Singapore

Hours:
40

Line of Business:
Compliance

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:

Reporting to the Head of Core Compliance, the incumbent will be responsible for the following activities:

• Support the Head of Core Compliance in the oversight of regulatory change management (RCM) program in APAC
• Monitoring, interpreting and advising the Bank on laws, rules and regulatory changes and developments in Singapore and other TD APAC jurisdictions, especially in areas such as global markets and corporate investment banking, and fund/ asset management.
• Promulgating regulatory change alerts to relevant stakeholders and maintaining the RCM system of applicable regulatory changes
• Key player in engaging stakeholders and assisting with regulatory implementation through the performance of gap assessment, management of timelines and milestones as well as ensuring timely responses to assist the project team with the smooth implementation of regulatory projects.
• Preparing periodic reports relating to recent regulatory changes and trending regulatory matters.
• Support where required, review and implementation of the testing and monitoring programme for the region
• Providing Compliance interpretation based on internal policies and applicable regulation where Core Compliance is the subject matter expert (SME) to stakeholders
• Represent APAC Compliance on assigned global enterprise projects where APAC Core Compliance is a participant or owner
• Prepare reporting governance committees on Core Compliance topics on a monthly and quarterly basis where required
• Maintain an up-to-date Core Compliance program and team procedures.
• Perform Program Effectiveness Assessments for APAC Compliance where required
• Work with the Business on Compliance Risk Assessments and conduct challenge and review where required
• Conduct trainings on applicable Core Compliance topics
• Support Conduct Risk Controls and Reviews Assessments for APAC Compliance
• Support timely oversight and review of Global and Regional Compliance policies and procedures
• Participating in EAP regulatory change meetings, including the preparation of agenda and trackers, co-ordinate meetings, and draft meeting minutes.
• Assist with reviewing, developing and recommending improvements on regulatory compliance policies

• A relevant degree with at least 10 years of compliance experience, specifically in central core compliance, gained from top-tier banks, fund/asset management, or major consultancy/accounting firms (banking knowledge is required).
• Knowledge in global markets, asset management, or corporate/investment banking is desirable.
• Strong understanding of applicable Singaporean and/or regional banking/capital market laws and regulations, with competency in advising on regulatory and conduct matters.
• Experience in monitoring (including surveillance) or testing reviews and employee-related compliance within a financial institution is preferred.
• Demonstrated attention to detail and analytical skills, with the ability to process information across various domains.
• Professional and diplomatic interaction across all levels.
• A proactive self-starter who can quickly learn about the business, identify key issues, and analyze appropriate information.
• Strong organizational and time management skills.
• Effective interpersonal, written, and presentation communication skills.
• Proficient in Microsoft Visio, Excel, Access, Word, PowerPoint, and other reporting tools; tech-savvy.