Manager, Regulatory Compliance Advisory

4 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia Prudential Hong Kong Limited Full time

Manager, Regulatory Compliance Advisory

Apply locations Kuala Lumpur time type Full time posted on Posted 30+ Days Ago job requisition id 23050408

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions. We pledge to make Prudential a place where you can Connect, Grow and Succeed.

To provide support in the design and implement compliance programs, policies and procedures and provision of proper guidance/advice to ensure that the Business Functions conduct their business operations ethically and in accordance with applicable local laws, regulations, guidelines and Group compliance standards.

PRINCIPAL DUTIES & RESPONSIBILITIES:
  • Provide regulatory compliance support, guidance, and advice to internal stakeholders, in relation to regulatory developments, gap analysis and projects, initiatives, process enhancements and etc.
  • Manage and monitor regulatory changes, including coordinate gap analysis, with the relevant Business Functions and track action plans to closure.
  • Assist to develop or update Regulatory Compliance procedures and checklists, where relevant.
  • Assist to roll-out changes to Group Compliance Standards to Business Functions and complete gap analysis and track actionable items to closure.
  • Assist in preparation of Annual Compliance Plan and ensure relevant activities are completed within the timeline.
  • Assist in preparation of compliance reports to Executive Risk Committee, Board Audit Committee, ExCo, Group Compliance and other relevant stakeholders, where relevant.
  • Assist to liaise with Regulators, Group Compliance with regards to regulatory examinations or reviews, where relevant.
  • Assist to represent the Department as compliance advisor in initiatives or projects or process enhancements rolled out by the Company.
  • Where relevant, conduct Compliance training for Business Functions to improve their understanding on governing regulatory requirements. Update compliance training materials, as appropriate.
  • Participate in compliance review or thematic reviews to test the effectiveness of compliance risk controls (in collaboration with the Compliance Assurance team).
  • Where relevant, provide regulatory compliance support, guidance, and advice relating to Product and Investment related queries, initiatives, projects and process enhancement as required by internal stakeholders, bank partners and agency force. This includes:
  • Review of product related materials, marketing and campaign materials to ensure compliance with regulatory requirements and Prudential internal standards;
  • Review of monthly Investment Compliance report, where relevant.
  • Where relevant, provide regulatory compliance support, guidance and advice relating to market conduct. This includes:
  • Proactively engage with Product Implementation Committee (PIC) and handling compliance approval throughout the product approval process to ensure that material Compliance and regulatory risks related to products are identified and appropriately mitigated for new and existing products, marketing campaigns and other related activities.
  • Provide quality reviews on product related marketing literature to ensure adequate disclosure and clarity of key product features designed to promote informed decision-making by customers and to minimize mis-selling of financial products.
  • Review the monthly Investment Compliance Report to ensure compliance with the Investment Mandates and relevant regulatory requirements. Report any non-compliance noted to the relevant Forums and supervise the actions to closure.
  • Provide investment compliance related advice and mentorship to the Business Functions to ensure adherence with local regulatory requirements.
JOB SPECIFICATION
  • Degree in Law /Finance / Accounting / Business Administration or other related field.
  • At least 8 years' experience in compliance, audit, legal or a regulatory compliance related role; related working experience in insurance or banking would be an advantage.
  • Good command of English and Bahasa Malaysia.
  • Knowledge of insurance, banking, asset management or other related financial services operations.
  • Good understanding of compliance principles and best ethical practices.
  • Good understanding of regulatory guidelines governing the insurance industry or other related financial services.

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

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