Senior Associate - APAC Global Markets Supervision

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We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

About the Role

We are seeking an experienced Global Markets Supervision professional to support regulatory and supervisory oversight across APAC Sales & Trading businesses. This role is responsible for supervising activities across multiple asset classes, partnering closely with business, Compliance, and control functions to ensure strong conduct, regulatory adherence, and effective supervisory frameworks.

The successful candidate will bring strong regulatory expertise, a solid understanding of how Sales & Trading desks operate, and the confidence to engage senior stakeholders across the region.

Key Responsibilities

• Serve as a primary supervisory contact for Global Markets Sales & Trading desks across APAC, advising on regulatory, conduct, and escalation matters in close coordination with Compliance partners

• Prepare and present monthly supervision dashboards, analyzing key metrics, trends, and business conduct issues; lead discussions with supervisors and follow up on action items

• Manage the MAS Best Execution framework, including review procedures and Best Execution Forum meetings

• Provide guidance and best practices to Global Markets Supervisors on supervision metrics, conduct risks, and emerging regulatory expectations

• Conduct first‑line communication surveillance and other business conduct reviews

• Assess the impact of regulatory, policy, and business changes on existing supervision frameworks and controls

• Design and implement supervisory controls, procedures, and enhancements aligned to regulatory and industry best practices

• Support internal and external audits, including remediation of open findings and gaps

• Develop and maintain Written Supervisory Procedures (WSPs) and Desk Operating Procedures for APAC

• Liaise with Compliance, Legal, Risk, Internal Audit, and regulators as required

• Contribute metrics and insights to APAC Conduct Risk Committee and senior supervision forums

• Participate in regional regulatory initiatives and business projects, including supervision readiness assessments

• Drive continuous improvement and change management initiatives within the supervision framework

Qualifications & Experience

• 5–10 years of relevant experience in capital markets, with strong exposure to regulatory supervision, compliance, or control functions. Experienced candidates may be considered for a more senior title.

• Deep understanding of Global Markets Sales & Trading activities across asset classes (e.g. FI, FX, Equities, Metals)

• Strong working knowledge of APAC regulatory requirements, particularly MAS (and SFC preferred)

• Solid understanding of the Three Lines of Defence (3LoD) framework and non‑financial risk controls

• Proven ability to build effective relationships with Trading & Sales teams, Desk Heads, and senior supervisors

• Strong analytical and problem‑solving skills, with the ability to distill complex issues and provide clear recommendations to senior management

• Self‑starter with the ability to work independently while collaborating across business and control partners

• Comfortable operating in a fast‑paced, dynamic environment with competing priorities

• Excellent written and verbal communication skills

Why Join Us

This is an opportunity to play a key regional role in shaping supervisory standards and conduct risk management across APAC Global Markets, working closely with senior stakeholders and contributing to high‑impact regulatory initiatives.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
 
Colleague Development 

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.