דרושים Director Global Financial Crime Manager ב-Bank Of America ב-Singapore, Singapore

Responsible for conducting day-to-day activities to support business and clients globally by developing a deep understanding of the organization and services offered to resolve complex client inquiries. Key responsibilities include onboarding, servicing and offboarding clients, opening, maintaining, and reconciling account information. Job expectations include ensuring all activities are performed with a high degree of accuracy and comply with all regulations and policies while driving solutions that best meet our clients’ needs..
• Improves and simplifies the client experience, reducing manual touchpoints
• Ensures transactions are completed in an accurate and timely manner, managing escalations as needed
• Supports the preparation of frequent reports and other measures of data
• Drives operational initiatives both internally across the organization and with clients to drive efficiencies, increase revenues and reduce risk
• Identifies and flags potential risks in a timely manner
• Client facing experience and ability to conduct discussions with Clients in a confident manner.
• Strong communications skills and ability to manage other teams to ensure resolution of queries.
• Self-motivated and able to work independently. Candidate will be able to prioritize and know when to escalate.
• Excellent time management skills: Able to prioritize and handle high volume and time sensitive client queries.
• Demonstrate a logical approach to problem solving.
• Ability to work under pressure in a team environment potentially managing multiple projects/deadlines simultaneously.
• Ability to liaise with all levels of the firm and people with different experiences and backgrounds.
• Demonstrate a high level of commitment and professional work ethic.
• Understanding of Markets Operations Trade lifecycle with ideally a focus on Settlements & Corp Actions.
• Fluent in written and spoken English, plus additional languages would be a benefit but not essential
• Strong Microsoft Office skills (PowerPoint/Excel/VBA) would be preferred.

Other Qualifications:

• Knowledge of industry rules and regulations, as well as common industry wide business practices.
• Strives to bring new thoughts and ideas to teams, to drive innovation and unique solutions.
• Excels in working among diverse viewpoints to determine the best path forward.
• Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
• Commitment to challenging the status quo and promoting positive change.
• Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base.
• Believes in value of diversity so we can reflect, connect, and meet the diverse needs of our clients and employees around the world.

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.

Job Description:

The Manager, Stock Lending Operations, will be responsible for the building up of operational functions of stock lending settlements for Asia markets.

This role will require a deep understanding of both Stock Lending and Asian equity markets operations processes.

Key responsibilities

• Understand front to back systems workflows of systems and settlements construct, primarily in SBL and International Prime businesses.
• Develop, implement, and maintain operational processes, policies and procedures to ensure the efficient and compliant execution of stock loan, securities lending and its life cycle operational processes.
• Identify operational risks and efficient framework for settlements in stock loan settlements in Asia markets.
• Lead the day to day operations of the business, including trade processing, settlement, corporate actions and custodian interaction.
• Stay abreast of regulatory developments to ensure business is compliant.
• Oversee and participate in maintenance and implementation of operational technology systems and platforms.
• Identify and create internal processes to meet front office requirements.
• Monitor service and control standards against, overall business / department objectives, markets standards.

Job Requirements

• Good understanding of required operational procedures to support front office in Equity stock loan and relevant product lifecycle.
• Strong interpersonal communication verbal and written skills. Comfortable working with Front Office and colleagues based remotely.
• At least 8 years of experience in the stock loan settlements area in Asia markets.
• Sound knowledge of lifecycle event and exception management.
• Ability to execute on more complex and / or non-standard requests.
• Self-motivated individual and driven
• Passionate about taking proactive initiative and leadership to raise the bar
• Drive new projects and initiatives.
• Strong knowledge of Risk and Control methodology
• Leading teams and managing performance reviews is of an advantage.
• Working knowledge of macros is an asset.
• Ability to work independently and lead ideas and changes.

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.

JobDescription:

• This role should be viewed as a functional extension of the NOC & L2 management roles in Toronto, with an objective to provide Network Manager coverage during non-working hours at Toronto. At the same time, it is as technical as a L3 level senior SME.
• Duties have a functional mix of 80% Technical + 20% Strong Managerial deliverables. Therefore, possessing these skills are a must, with past experience of having managed and coached a team of at least 5 direct reports in conjunction with advanced industry technicalcertifications/qualificationsand deep technical skills that are wide and deep across multiple network domains and platforms.
• The right candidate should possess deep technical skills as the role is a hands-on keyboard requiring deep domain and SME knowledge across many key platforms and technologies covered more specifically later in this document.
• At the same time strong managerial skills are required to help coach, guide and be a people manager across NOC Toronto, L2 Toronto as well as a SGP resources across NOC and L2 teams.
• The incumbent in this role would help provide a seamless coverage of managerial and technical leadership across all network operations teams during the hours of operation.
• Manage Singapore coverage across the team to cover from 7am EST to 7pm EST by helping stagger start and end times at SGP across weekdays and weekends, ensuring the right level of staffing is always available at SGP.

Key Job responsibilities:

• Strong leadership skills in troubleshooting complex incidents in a time sensitive manner and articulate technical issues concisely and succinctly to senior management.
• Effectively take on work from the Toronto team, assign and deliver as needed, pick up work and prioritize work as it comes in, deliver a handover back to Toronto at end of day. Ensure SGP team follows this process as well.
• Manage local team workloads and ensure new work is assigned and taken on from OSG, Network, P&C queues as well as contribute strongly towards strategic deliverables for the overall team.
• Experience in using Automation as well as advanced network management tooling to help resolve incidents quickly and efficiently.
• Be dependable, innovative, accountable, passionate, transparent, and collaborative.
• Strong knowledge of networking technologies and platforms including Cloud technologies, SD-WAN, Wired and Wireless technologies, Firewalls, Load Balancers, Wireshark and advanced network packet capture/analysis abilities, Routing and Switching, ACI, NGNI, QoS, VoIP, Optical, Monitoring Tools, DHCP, DNS and CDN(content delivery), etc.
• To quickly identify the problem and propose a solution to remediate issues within our prescribed MTRS while working collaboratively with established Incident and Change management processes.
• Lead the small team in SGP and its deliverables. Coach and to fulfil workday requirements relating to the team.
• When on duty, to manage day to day deliverables during the shift providing directions for the other analysts. The primary accountability of this position is to ensure that all work deliverables during the shift are efficiently managed with strong delivery and prompt escalations. When not on duty to coach the others to take on this accountability for that day
• Preparing shift schedule and manage vacation schedules for the small SGP team.
• Provide strong technical leadership while ensuring that processes and procedures are followed properly by the team that they are leading. This includes ensuring proper use of automation, following proper remediation procedures, high quality ticket and vendor issue updates, handover documentation, etc.
• Prepare and manage team productivity and metrics.
• Provide constructive coaching and develop team members, providing effective feedback and recognition when needed. Handling Performance conversations and reviews with Team members

Overview of mandatory requirements

• This role requires a combination of strong managerial skills as well as deep network platform and domain technical skills. Provide managerial guidance to manage a team of professionals in the network operations area.
• The role will have 80% technical duties and 20% managerial deliverables.
• It may require a flexible start and end time but keeping within the total hours of a normal workday at SGP. This means an early start and an early end on certain days while it may relate to a later start and a later end time on others. The reason is to have the available SGP resources provide coverage from 7 am to 7 pm local SGP time – weekdays as well as on weekends.
• The right candidate will possess strong and demonstrable experience as well as qualifications relating to technical skills and managerial abilities.

Experience

• At least 5+ years of relevant Wireless technologies experience (e.g., Aruba, Airwave, RF survey tools, ClearPass, Wireless authentication)
• Minimum 10+ years of solid hands-on network technical experience in Routing/Switching technology, Firewalls, Load Balancing, trace analysis/protocols.
• Experience supporting a large and complex network environment.
• Experience in exploring and implementing automation for Proactive monitoring and reducing incident resolution time.
• Flexible with on call & rotation and shift timing
• Adequate knowledge and experience to support platforms like Cloud, SD-WAN, Wireless, Firewalls, Load Balancers, Routing and Switching, QoS, VoIP, Optical, DHCP, DNS, Monitoring Tools, CDN, etc.

Fulfil Shared Accountabilities

• Support shift turnover process effectively.
• Create Sop's / Mop's and how-to docs for better support and training of new and junior team members. Also, peer review such documentation created by other team members and provide suggestions for improvement.
• Ensure existing Automation tools are utilized by the team to the max.
• Explore new automation opportunities for any repeated tasks to reduce human touch.
• Explore opportunities to enhance existing Automation tools.
• Report on any challenges with internal processes, gaps, or any challenges with vendors and telcos.
• Report on any new influx of repeated alerts/incidents to identify opportunities related to alert modification, etc. to reduce noise.
• Identify and report on gaps for process optimization.
• Proficient with Microsoft Office Suite of products(Word/Excel/PowerPoint/Outlook).
• Effective ticket queue management and prioritization.
• Assess impact and potential impact/risk and report to Sr management very promptly in a business language when significant issues occur.
• Manage escalations with internal TD teams and 3rd party vendors.
• Manage chronic, repeat, and aging incidents with proper internal/external escalations.

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.

Job Description:

Job Description:

This job is responsible for facilitating a direct end-to-end relationship with one or more Treasury Sales Officers (TSOs) to manage and grow both domestically and globally within an assigned portfolio. Key responsibilities include supporting all activities from sale through implementation and coordinating the Client Management Process (CMP) by focusing on client acquisition and deepening existing relationships. Job expectations include partnering with product specialists and service partners by making recommendations and creating customized treasury solutions that meet client needs.

Responsibilities:

• Assists with coordinating the Client Management Process (CMP), including client planning, client calling efforts, client team meeting preparation, delivery, and follow-up, and revenue and pathway tracking
• Conducts industry, client, and prospect research to develop strategies and create proposals and pitchbooks for pre-call planning
• Completes price and cost benefit analysis models to develop pricing strategies, which includes working with the Treasury Sales Officer on non-standard pricing
• Partners with Product Specialists and support partners to develop strategies to grow revenue and deepen existing relationships
• Supports clients through the implementation, client onboarding, and training activities
• Ensures the accuracy of sales data including managing sales pathways, call reporting, and profitability reporting
• Participates in in-person calling activities and ad-hoc direct sales opportunities with Treasury Sales Officers
• Minimum Education Requirement: Bachelor degree or above

Skills:

• Account Management
• Client Management
• Customer and Client Focus
• Oral Communications
• Presentation Skills
• Critical Thinking
• Data Management
• Portfolio Analysis
• Problem Solving
• Relationship Building
• Active Listening
• Analytical Thinking
• Collaboration
• Prioritization
• Written Communications
• Strong PC skills (Word, Excel,PowerPoint, etc)
• Intrinsically motivated to continuously improve processes and/or a strong desire to learn

Job Description:

• The primary responsibility of the Repo Group is to execute trades withclients/institutions/organisations/financialintermediaries.The business is required to take product specific positions within defined credit limits, manage that risk and generate defined profit targets. The position is required to collaborate closely with the internal sales team and be proactive in marketing to clients, both internally and externally.

• The individual in this role will be required to work closely with regional sales and in the Global Repo Group to build the business in Asia in repo. Both client financing and the successful financing of firm assets is a key part of the role. Building relationships externally and assisting with the development of internal infrastructure is key.

Skills & Requirements

• University degree, preferably in Finance, mathematics, ortechnology/engineering

• Combined 8+years of trading/sales experience in repo and securities financing products, with particular reference to client trading in government debt

• Experience managing and trading a balance sheet or around 10bn CAD

• Repo relationships in different markets to broaden the touchpoints across Asia and Australia

• Ability to work across markets and understand and manage interest rate risk in multiple currencies

• Forge strong relationships with key business partners, understand financial markets and regulation and apply analytics to drive commercial value

• Excellent communication skills and building relationships both internally and externally

• Strong track record of P&L generation and franchise building

• Demonstrates initiative, flexibility and commitment

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.