Manager, Regulatory Compliance

2 weeks ago

Kuala Lumpur, Malaysia Prudential plc Full time

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 and members of the sales force 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.- Support the Management on any regulatory compliance issues as they arise.- Develop or update Regulatory Compliance procedures and checklists, where relevant- 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- Roll out of Regulatory Requirement Self-Assessment (RRSA)- 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.- Represent the Department as compliance advisor in initiatives or projects or process enhancements rolled out by the Company.- Conduct Compliance training for Business Functions to improve their understanding on governing regulatory requirements. Update compliance training materials, as appropriate.- Where relevant, support/perform other activities of the team such as Incident management, Third Party/Vendor due diligence and Compliance Risk assessment.

JOB SPECIFICATION- Degree in Accounting, Finance, Law, Business, or other related discipline.- At least 5 years’ experience in compliance, audit, legal or a regulatory compliance related role; related working experience in insurance or banking would be an advantage.- Good knowledge of regulatory guidelines governing the insurance industry or banking or other related financial services.- Good knowledge of insurance or banking or other related financial services operations.- Experience in compliance risk management.- Good communication and interpersonal skills.- Ability to work effectively in a team and manage stakeholders.- Ability to recommend a pragmatic approach for problem solving.

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