Head Fcrm - Tds Business Oversight Asia Pacific jobs at Td Bank in Singapore, Singapore

• Manage the APAC Financial Management portfolio (e.g. Forecasting, Profit & Loss Analysis, Cost Allocations) with the aim of achieving desired business goals.
• Partner with HR, Talent Acquisition, Workforce Managers and Hiring Managers to facilitate Talent Management related activities, ensuring the business is staffed adequately to provide sustainable support to operations.
• Support regional communication efforts by preparing Town Hall materials, video messages, formal announcements, senior management reports and engagement pieces as needed to support business objectives and ensure alignment with global standards.
• Collaborate with cross-functional teams and support partners (e.g. Finance, Technology, HR, Compliance) to deliver business priorities and operational objectives.
• Produce management reports (monthly, quarterly, weekly, ad-hoc) such as entity/governance reporting decks and business partner packs.
• Coordinate regional employee engagement activities to strengthen team connectivity and make Bank of America a great place to work.
• General administrative support including occupancy management, preparing meeting minutes, supporting the organization with senior executive visits, offsites, meetings, conferences, and other events.
• 5-8 years of work experience in the financial industry and/or experience in a business support role (e.g. Business/Project Management, Risk & Control).
• Proven leadership in coordination efforts across multi-business unit stakeholders to orchestrate cohesive oversight and process management.
• Excellent written and verbal communication, collaboration and influencing skills, including the ability to communicate complex ideas in a clear and concise manner with stakeholders across all levels.
• Fastidious attention to detail, with the ability to work efficiently and confidently with large amounts of complex data, ensuring accurate, professional, and timely completion of deliverables.
• Organized and possess good time management skills with ability to manage and prioritize competing priorities.
• Ability to maintain a high level of integrity while working with confidential information.
• Advanced MS Office skills, especially Excel and PowerPoint with ability to develop executive ready communications and presentations.
• Advantageous to have skillsets in utilizing automation/data analytics tools (e.g. VBA, Alteryx, Python, Tableau, etc).

Your background

• Relevant Client Servicing concentrating on delivery of treasury and cash management solutions for Financial Institutional (FI) / Non-Bank FIs.
• Good understanding of standard Treasury and Cash Management offerings.
• Good knowledge of all bank systems, products and web-based electronic banking platforms.
• Good application software skills: Words, Excel and Powerpoint
• Excellent presentations, communication, time management, problem solving, interpersonal and team work skills.
• Good command of spoken and written Vietnamese.
• Good command of spoken English and Mandarin.
• Possess a passion and urgency to serve our clients and operate as a client advocate.
• Ability to manage multiple requests simultaneously that contain a variety of complexity and resolution periods.
• Track record gained through operational experience within the payment, trade, or treasury environment.
• Excellent rapport with client contacts at all levels and with internal partners at all levels.
• A proactive learner and self-starter seeking continuous improvement in all job-related aspects.
• Possess a professional and positive attitude.
• Able to work under pressure and challenges.
• Demonstrated experience with continuous improvement and process efficiency methodologies.

What you can expect

As a Client Service Advisor, you will have the opportunity to work with our FI / NBFI clients. You will help to service, advise, support and manage portfolio of Banks and Non-Banking Financial Institutions by providing professional, courteous and high quality customer service in all aspects of domestic, international and cash management services. This role offers a high level of visibility as you will work in conjunction with a number of other internal teams to provide seamless delivery to, and build relationships with a variety of client stakeholders.

What you will do

• Work closely with various internal partners to deliver exceptional and proactive service to clients worldwide.
• Act as primary point for clients. Manage, log and investigate the day-to-day servicing of enquiries, requests and complaints and escalate as appropriate.
• Provide consistent service and keep clients informed on status of all outstanding enquiries.
• Liaise with local / regional operations at all levels for timely and accurate resolution of queries.
• Provide sales support to ensure delivery of Quality & Proactive services to clients.
• Meet clients with Sales for business needs.
• Conduct period service and scorecard review with clients
• Working independently with strong organizational skills to overcome challenges with requests and ensures our client’s needs are satisfied.
• Actively join in, support & implement local or regional projects as assigned by the Client Services Manager.
• Undertake regulatory remediation and ensure closures within designated timelines.
• Ensure full compliance of all applicable laws, regulations, credit, KYC, AML, internal policies and procedures and exercise due diligence.
• Perform all duties as assigned by the Client Services Manager.

Your background

• Bachelor’s Degree in Business Administration, Management, Finance or related field
• Minimum of 5 years experience in a banking environment, preferably experience in business management/COO or support roles
• Strong executor with proven ability to independently manage recurring business management tasks (e.g., headcount tracking, data reporting, governance routines), ad-hoc projects & initiatives
• Systematic and organized, with a structured approach to both execution and thought process; able to manage multiple priorities without losing accuracy or attention to detail
• Hands-on mindset to dive data, processes, issues to uncover root cases and drive actionable solutions
• Proficient in Microsoft Office (Word/Excel/PowerPoint/Visio), experience with reporting/visualization tools (e.g., Tableau, PowerBI, Alteryx) is an advantage
• Excels in both written and verbal communication and can confidently present findings and recommendations
• Skilled in stakeholder engagement; able to navigate matrix organizations, influence outcomes, and build effective partnerships across functions and geographies
• Demonstrated ability to manage confidential and sensitive information with discretion and confidentiality

What you will do

• Manage core business administration routines including headcount tracking, hiring status, maintain organization charts, BCP and workspace management across APAC locations
• Coordinate the employee engagement (EE) program – plan, execute and deliver EE events/activities/initiatives in collaboration with cross-functional partners
• Develop and prepare high-quality presentations and reporting packs for use bythe APAC AML Executive to present at senior leadership forums, while ensuring accuracy and timeliness
• Contribute to initiatives relating to organization efficiency, operating model, capacity planning and strategy
• Support outsourcing governance requirements, including oversight of deliverables, documentation and participation in governance routines
• Execute ad-hoc projects and business initiatives, managing multiple priorities and deliverables
• Comfortable working in an environment of evolving scope and priorities; adaptable, resilient, and solutions-drive
• Build and maintain strong working relationships within a matrixed organization, engaging stakeholders across other lines of business regionally and Global (HQ) to deliver on objectives
• Late evening calls can be expected with HQ team as required

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

Required Qualifications:

• 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 majorconsultancy/accountingfirms (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.

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.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Position Overview

We are seeking a highly experienced and strategic Director to establish and manage the Singapore Control Room within Compliance at TD Securities ("TDS"). The ideal candidate will bring over 10 years of specialized experience working in a Control Room, with experience in clearing and managing conflicts across TDS, covering traditional Control Room responsibilities (covering Investment Banking, Capital Markets, Research, Conflicts, Employee Trading), the role will be responsible for reviewing U.S. and Canadian Equity Research, reviewing employee trading, reviewing conflicts, and contributing towards different technology projects.

Key Responsibilities:

• Lead the identification, assessment, and resolution of potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions.

• Review US and Canada equity research and ensure compliance with both US and Canada research safe harbors rules (examples include, SEC rules 137, 138, 139, UMIR, CIRO and IIROC).

• Coordinate with the Global Control Room partners on, implementation, and continuous improvement of conflict management frameworks, policies, and procedures.

• Drive the development and enhancement of conflict management systems and tools, ensuring alignment with regulatory expectations and business needs.

• Clear conflicts for the corporate and investment bank, ensuring compliance with internal policies and regulatory requirements.

• Review employee trading activities to identify and mitigate potential conflicts of interest.

• Lead and manage cross-functional change projects, including global policy rollouts, system migrations, and process reengineering.

• Serve as a senior advisor to various businesses and compliance stakeholders on Core Control Room activities, Employee Trading, Conflicts, and Research matters.

• Mentor and guide junior team members, fostering a culture of compliance and continuous improvement.

Qualifications:

• Minimum 10 years of experience in Control Room, Conflicts management within a global financial institution, preferably in a or compliance function.

• Deep understanding of investment banking products, services, and regulatory frameworks including reviewing and approving U.S. and Canada equity research and understanding research safe harbors in the US and Canada.

• Ability to effectively communicate with senior Investment Banking, Sales and Trading and Research teams.

• Demonstrated success in building and implementing conflict management systems and tools.

• Proven experience leading large-scale change projects in a matrixed, global environment.

• Strong analytical, problem-solving, and project management skills.

• Ability to act independently and coordinate with regional team members, compliance advisory and all front office staff.

• Excellent communication and stakeholder management abilities.

• Bachelor’s degree required; advanced degree or professional certification (e.g., JD, MBA) is a plus.

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.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Individual Role Accountabilities

• Act as the named AML officer for TDS in the Asia-Pacific region.

• Develop FCRM second line of defense strategies, practices, and programs in line with legislative, regulatory and industry requirements.

• Develop and manage on-going relationships with the regulators and applicable law enforcement authorities.

• Ensure applicable regulatory FCRM change is identified, assessed and implemented.

• Oversee AML policies and procedures in the region.

• Participate in AML projects and committees for TDS Asia-Pacific.

• Oversight for all outsourced FCRM activities being performed by TD affiliates.

• Represent TD Securities Asia Pacific from an FCRM perspective in internal and external forums.

• Advise TDS Asia Pacific on day-to-day AML matters.

• Identify AML training needs and ensure delivery of AML programs to regional colleagues.

• Provide advice and act as the SME on projects, escalations, and complex AML matters.

• Approve of risk activities (e.g. enhanced due diligence reviews, net new High Risk customers, PEPs).

• Reviews NBPAs for the region.

• Close liaison with the FCRM teams and first line functions across TD Securities.

• Partner with 1B teams and control partners to ensure alignment on risk and oversight.

• Oversee the structure, submission and completeness of FCRM risk assessments.

• Executive level reporting, including identifying and escalating FCRM issues and events, initiatives, and trends.

• Assess the effectiveness of TD Securities' FCRM systems and controls.

• Design and execution of the monitoring program.

• In partnership with TDS Business Oversight AVPs, develop KRIs to measure AML risk profile of TDS.

• Execute on annual and periodic AML risk assessments for TDS AP.

• Ad hoc projects as assigned.

Skills, Education & Experience

• Significant experience with Asia-Pacific (Singapore, Hong Kong, Japan, Australia) AML laws, rules and regulations.

• Broad knowledge of the AML regulatory environment in the region.

• Strong risk acumen – challenges the status quo; has a sense of where things could go wrong and proactively manages to avoid / minimize the risks.

• Proven ability in leveraging deep risk expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision.

• Skillful communication (written and verbal) and ability to write board level communications and reports.

• Ability to work in ambiguity and decomplexify issues; Strong work ethic and ability to execute with speed.

• Recruits top talent; manages and motivates a diverse group of professionals.

• People leader who possesses the ability to effectively work in teams across the bank with multiple stakeholders and to influence and align others.

• Collaborator who engages colleagues, business partners and external stakeholders. Demonstrates negotiation and partnership skills to balance stakeholder input but remains objective to reach the right outcome - ability to stay resilient under pressure.

• Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities.

• Undergraduate degree required; Post Graduate degree preferred.

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.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Job Description:

Job Description:
This job is responsible for leading and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include executing LOB or ECF processes and tools to drive adherence to enterprise-wide standards. Job expectations include supporting the implementation of quality assurance and quality control processes within the LOB or ECF through ongoing monitoring and testing of controls, identifying issues and control improvements for remediation, and building out actions plans and milestones.

• Work with the LOB to implement a process, risk, and control framework as a foundational component of an enhanced first line of defense risk management program
• Take an active part in and lead risk and compliance related projects and assessments
• Responsible for the oversight and execution of the NTCR Business Controls Program core functions for a LOB, including Issues Management, Complaints Management, Audits/ Exams Management, Operational Losses, Policy/Regulatory Assessments, Process Quality / Test Design Oversight and Control Partner Testing
• Manage, develop and oversee controls for a line of business
• Enhance, design, implement and provide ongoing oversight to the LOB Control environment
• Partner closely with senior management, compliance and other control partners to develop strategies, tools and reporting capabilities to strengthen current controls.
• Assist in the execution of internal control discipline and operational excellence within a LOB or ECF.
• Oversee LOB/ECF specific processes and tools to drive adherence to enterprise-wide Standards.
• Support the implementation of QA/QC processes within the LOB/ECF through ongoing monitoring and testing of controls.
• Identify issues and/or control improvements for remediation, whilst assisting in building out action plans and milestones.

Responsibilities:

• Leads the assessment of the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
• Performs monitoring and testing of controls, identifying issues and control improvements for remediation
• Leads the implementation of optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
• Manages the performance and productivity of team members that conduct quality inspection reviews
• Ensures timely execution of QA activities including control execution, case management, and results reporting
• Manages and reviews all operations front line unit responses for regulatory exams, internal audits, and other monitoring and inspection reviews
• Ensures accuracy of data and that relevant information is captured for inspection metrics to support governance for dashboard reporting

Managerial Responsibilities:
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.

• Opportunity & Inclusion Champion: Models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.
• Manager of Process & Data: Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.
• Enterprise Advocate & Communicator: Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.
• Risk Manager: Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.
• People Manager & Coach: Provides inspection, coaching and feedback to motivate, differentiate and improve performance.
• Financial Steward: Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
• Enterprise Talent Leader: Assesses talent and builds bench strength for roles across the organization.
• Driver of Business Outcomes: Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.

Skills:

• Controls Management
• Oral Communications
• Risk Management
• Stakeholder Management
• Strategy Planning and Development
• Continuous Improvement
• Drives Engagement
• Influence
• Strategic Thinking
• Talent Development
• Data and Trend Analysis
• Decision Making
• Monitoring, Surveillance, and Testing
• Problem Solving
• Quality Assurance

• Requires understanding of the business unit's products, services and processes, strong analytical, communication and relationship management skills.
• Acts as an ambassador of the risk culture
• Understanding of Process Owner Portal, Single Process Inventory, Issues oversight and Process Quality
• Leadership experience and/or application of leadership capabilities working with Sr Leadership
• Experience working with the Risk framework and displays Risk acumen
Desired Skills:

• Experience in Process Management or ability to identify, create, or implement process requirements
• Proficiency in deductive reasoning
• Inquisitive mindset and efficient in problem resolution and/or Root Cause Analysis
• Ability to effectively challenge and provide strategic influence