Support the Operational Risk and Controls Oversight function within a leading financial institution by providing independent second-line review and effective challenge of Control Testing activities.
Responsibilities
Perform independent second-line reviews and provide effective challenge of Control Testing activities and outcomes across business units and support functions
Assess control testing scope, methodology, sample selection, procedures, supporting evidence and conclusions for accuracy and completeness
Evaluate the quality and consistency of control effectiveness ratings, identified deficiencies and management responses
Determine whether testing results accurately reflect underlying risks, control objectives and potential business impacts
Identify recurring trends, systemic control weaknesses, concentration risks and emerging issues across the control testing portfolio
Requirements
Professional certifications in Risk Management, Internal Audit, Accounting or a related discipline (e.g., CIA, CPA, CISA or CRMA)
Provide independent second-line review and effective challenge of Control Testing activities and outcomes across client Securities businesses and support functions
Assess whether control testing scope, methodology, sample selection, procedures, evidence and conclusions are appropriate, complete and supported
Challenge the quality and consistency of control effectiveness ratings, identified deficiencies and management responses
Evaluate whether testing results appropriately reflect the underlying risk, control objective, business context and potential impact
Identify recurring themes, systemic control weaknesses, concentration risks and emerging issues across the Control Testing portfolio
Independent second‑line review and challenge of Control Testing across TD Securities, providing insights and reporting to senior management.
Compensation
Pay Rate: C$51.00–C$61.00 / Hour (CAD)
Responsibilities
Provide independent second‑line review and effective challenge of Control Testing activities and outcomes across TD Securities businesses and support functions.
Assess whether control testing scope, methodology, sample selection, procedures, evidence, and conclusions are appropriate, complete, and supported.
Challenge the quality and consistency of control effectiveness ratings, identified deficiencies, and management responses.
Evaluate whether testing results appropriately reflect the underlying risk, control objective, business context, and potential impact.
Identify recurring themes, systemic control weaknesses, concentration risks, and emerging issues across the Control Testing portfolio.
Requirements
Undergraduate degree or technical certificate with relevant experience required
Professional risk, audit, accounting, or related certification is an asset
Oversee the integrity of MiFID II regulatory reporting for the GlobalLINK MTF, ensuring quality, completeness, timeliness, and accuracy of reporting obligations.
Responsibilities
Oversee day‑to‑day monitoring of MTF regulatory reporting
Investigate reporting exceptions, reconciliation breaks, and data quality issues
Act as subject matter expert on MiFID II regulatory reporting requirements
Monitor regulatory developments and assess impact on reporting processes
Partner with Technology and Project teams to support regulatory change initiatives
Requirements
Degree or equivalent higher education qualification
Lead risk oversight and governance for wealth management activities in Singapore, providing independent risk advice, monitoring risk indicators, and supporting strategic initiatives.
Responsibilities
Provide independent risk advice and challenge to senior stakeholders
Maintain consolidated view of key and emerging risks affecting wealth‑management activities
Monitor risk indicators, issues, remediation plans and control effectiveness
Review impact of regulatory, market, economic and business developments on risk profile
Support risk assessments, stress testing, scenario analysis, reporting and escalation
Requirements
Bachelor's or postgraduate qualification in finance
Bachelor's or postgraduate qualification in business
Bachelor's or postgraduate qualification in accounting
Executes testing to provide insights and recommendations on test results, findings, identified issues, re-performance testing, and continuous improvement insights. Executes testing, monitoring and operational activities of various complexity.
Compensation
$55,500.00 - $120,000.00
Responsibilities
Executes testing to provide insights and recommendations on test results, findings, identified issues, re-performance testing, and continuous improvement insights.
Executes testing, monitoring and operational activities of various complexity based on assigned portfolio ensuring adherences to established service levels and standards.
Provides advice and guidance on control effectiveness, program compliance and issue descriptions.
Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
Analyzes data and information to provide insights and recommendations.
Lead and oversee enterprise Identity and Access Management controls, ensuring governance, risk-based access, and regulatory compliance across multiple locations.
Trade Finance - Regulatory Reporting - Vice PresidentNewJPMorgan Chase & Co. · Mumbai, India
Head of Wealth Risk, SingaporeHSBC · Singapore, Singapore