Manager, Compliance

6 hours ago

Kuala Lumpur, Malaysia Prudential Financial, Inc 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 design and implement compliance programmes, policies and procedures to ensure that the Business Functions conduct their business operations ethically and in accordance with applicable local laws, regulations, guidelines, regional compliance standards and prevailing regulatory expectations.

**Principal Duties & Responsibilities**:
**1.**
**Market Conduct**
- Provide sales compliance support, regulatory guidance and advice to Distribution Business Functions with regards to their business operations on sales processes.
- Work together with Regulatory Compliance and business functions in managing regulatory changes impacting the sales related process, ensuring gaps and action plans are identified and implementing within agreed timeline.
- Develop/update key compliance risk indicators (KCRIs)/ Early Warning Systems (EWS) for sales monitoring together with analysis of the indicators.
- Establish and enhance Sales Compliance programmes, procedures, and checklists for periodic monitoring, including taking appropriate steps to improve the effectiveness.
- Sales compliance activities, e.g. agency office visits, mystery shoppings, post sales monitoring activities, etc, in accordance with the Annual Compliance Plan.
- Implement sales compliance initiatives roll-out by regional Compliance including development of localised policy and procedures.
- Conduct sales compliance training to the relevant Business Functions or Sales Force to improve their understanding on sales regulatory requirements. Develop and update the sales training materials, as appropriate.
- Represent the Department as compliance advisor in major initiatives or projects of the Company.

**2. Product Review & Investment Monitoring**
- Provide quality reviews on product related marketing literature to ensure adequate disclosure and transparency of key product features designed to promote informed decision-making by customers and to minimize mis-selling of financial products Product Review and Investment Monitoring.
- Product and Investment Compliance Unit ('Unit') manages product compliance related queries and expectations from business partners, banca partners, agents, and customers.
- 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 monitor the actions to closure.

**Job Specification**
- Degree in Finance / Accounting / Business Administration or other related field.
- At least 6 years working experience in the related field solid understanding in compliance or internal audit function in financial institutions or in Big Four with insurance or banking engagement 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.

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