Senior Manager Compliance Advisory Equities

Step into the role of Senior Manager for Advisory Compliance at TD Securities, based in Singapore. Focus on maintaining compliance for equities while driving advisory initiatives.

In this dynamic position, you will represent the compliance department, overseeing equity transactions and ensuring adherence to industry regulations and standards. You will foster relationships within the equities division, provide essential guidance to team members, and lead compliance training programs.

Your role will be pivotal in navigating the evolving regulatory landscape within the APAC region to support the business effectively.

Key Responsibilities:

• Assess new business proposals against regulations

• Advise on equities transactions with stakeholders

• Support junior team members with compliance insights

• Implement Advisory Compliance policies and procedures

• Analyze market abuse escalations for management

Requirements:

• 15+ years of experience in compliance or financial services

• In-depth knowledge of APAC equity regulations and practices

• 5+ years of experience in equity products

• Proven skills in stakeholder management

• Commitment to independence and ethical compliance

Utilize your extensive compliance experience to enhance TD Securities' advisory efforts within the equities space in Singapore.
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