Director, Compliance

Job Description

Your Opportunity

The International Compliance Group supports the compliance and regulatory responsibilities for the Charles Schwab and TD Ameritrade regulated entities outside of the U.S., including TD Ameritrade Singapore Pte. Ltd. (“TDASG”), a foreign broker dealer. This role will serve as TDASG Compliance Officer and partner with supervision and operational business units in Singapore and the U.S. to support TDASG’s compliance with applicable laws, rules, and regulations; implement regulatory requirements, and identify areas for improvement. The role requires sound knowledge of the Singapore regulatory environment, and an understanding of securities and derivatives industries, as well as TDASG’s product and services offerings and policies and procedures.

What you are good at

• Meeting responsibilities for completion of compliance related work including monitoring key operational areas and business activity and maintaining evidence of supervision in accordance with internal procedures and regulatory requirements.
• Conducting regular and rigorous surveillance and oversight of TDASG activities as they relate to applicable Singapore law, rules, and regulations.
• Editing and creating policies and procedures and delivering ongoing training on key regulatory issues.
• Preparing materials and assisting in facilitating TDASG risk and compliance meetings.
• Acting as TDASG’s AML Officer and performing all AML tasks in accordance with Singapore law, rules, and regulations, and TDASG policies and procedures.
• Liaising with Monetary Authority of Singapore (“MAS”) on registration, deregistration and other licensing and supervisory related matters.
• Monitoring changes of compliance and regulatory requirements, conducting impact analysis and implementing the required measures.
• Reviewing and responding to inquiries received from regulators or clients, while collaborating with legal, risk management, and business partners.

What you have

• 4-year college degree required. Military education or experience considered in lieu of requirement.
• Minimum 5 years relevant experience in compliance with a retail financial services or in regulatory intermediary supervision.
• Knowledge of financial services laws, rules, and regulations in Singapore.
• Knowledge of broker-dealer processes and practices.
• Strong analytical skills, excellent attention to detail, and the ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
• Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
• Proficient in Microsoft Office and industry related software programs.
• CMS – 1B (securities) required.
• CMS – 2A (futures) preferred
• CMS – 6A (product knowledge – non-Finance major) required.

You demonstrate these behaviors:

• Exceptional judgment as well as a broad understanding of the potential implications of actions and decisions.
• A well-organized and self-directed individual who is able to work with moderate amount of supervision to identify, research and resolve issues and decide when escalation is appropriate.
• Capable to efficiently complete tasks in a fast-paced environment.
• Ability to effectively balance multiple conflicting priorities with associated target dates.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at [email protected] or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.