Manager Regulatory Compliance

1 week 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.

Responsible to manage the overall administration of Regulatory Compliance Matrix (RCM) with a focus to ensure accurate and adequate assessment of company-wide level of compliance with the applicable regulations.

1) Perform review and validation of departmental RCMs as mandated by the Annual Compliance Plan
- Work on RCM selection methodology for annual compliance plan including leading the team to complete the annual RCM validation exercise.
- Evaluate the adequacy of the manner of compliance stated in the departmental RCMs including requesting for necessary supporting documents.
- Assess and identify any gaps in the RCMs and potential impact/implications to the business. Ensure timely closure of the said gaps and timely reporting where the closure is delayed due to conflicting priorities or resource constraints
- Work with Business Unit to ensure compliance requirements are put in place and to follow-up on any action required within the stipulated deadlines.
- Coordinate and facilitate the half-yearly review and self-assessment by the Compliance Champions on their departmental RCMs and perform sanity check to ensure manner of compliance documented are reasonable and adequate to meet the regulatory requirements.

2) Provide advice to Management on the applicable laws, rules and regulations and implementation of the regulations
- Acquire understanding of applicable regulatory requirements to enable provision of accurate advice to Business Units.
- Identify compliance issues and provide value added recommendation/solution to ensure compliance.

3) Perform pre-audit review on departments that will be audited during the assessment year.
- Identify Business units that have been included in the annual audit plan by GwIA
- Engage with the Business Units to evaluate the adequacy of compliance procedures, policy and processes put in place to mitigate any potential findings
- Perform pre-RCM review to ensure ongoing adherence to the relevant applicable laws and regulations and ensure the RCMs reflect any changes in the business unit’s organization structure, roles and functions and procedures or processes.
- Encourage/facilitate ISBAM declaration by Business Units to GwIA prior to audit.

4) Enhance Compliance culture
- Embed compliance processes within the business supported by regular communication and awareness programme.
- Develop relevant engagement, training and communication programme for Compliance Champions.
- Work with other Business Units to explore various options to enhance compliance risk management.
- Initiate activities and communication to promote compliance awareness and sound compliance knowledge among all staff.

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