Senior Manager, Regulatory Compliance
2 weeks ago
PRINCIPAL DUTIES & RESPONSIBILITIES:
Regulatory Compliance
Provide regulatory compliance support, guidance and advice to Business Functions in regard to regulatory changes and updates.
- Manage 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.
- Roll-out changes to Regional Compliance Standards to Business Functions and complete gap analysis and track actionable items to closure.
- Assist in preparation of Annual Compliance Plan
- Assist in preparation of compliance reports to Audit Committee, ExCo, PCA Compliance and other relevant stakeholders.
- Liaise with Regulators, PCA Compliance with regards to regulatory examinations or reviews.
- Represent the Department as compliance advisor in major initiatives or projects of the Company.
- Compliance training for Business Functions to improve their understanding on governing regulatory requirements. Update compliance training materials, as appropriate.
Carry out any other assignments as may be assigned from time to time.
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 of product related materials and campaigns to ensure all materials are in compliance with regulatory requirements and Prudential internal standards.
Review of monthly Investment Compliance report.
Market Conduct & Analytics
Provide sales compliance support, regulatory guidance and advice to Distribution Business Functions with regards to their business operations on sales processes.
- Establish and enhance Sales Compliance programs, procedures and checklists for periodic monitoring, including taking appropriate steps to improve the effectiveness.
- Implement sales compliance initiatives roll-out by PCA Compliance including development of localised policy and procedures.
- Develop and update the sales compliance training materials, as appropriate.
- Includes management of analytics function which develops/updates key compliance risk indicators (KCRIs) for sales monitoring together with analysis of the KCRIs.
- Explore and execute opportunities for automation in the Compliance function.
JOB SPECIFICATION:
a. Qualifications
- Degree in Finance/Accounting/Business Administration or other related discipline.
b. Experience
- At least 8 years related working experience; working knowledge in the area of Compliance, Auditing or Legal function would be an advantage.
c. Knowledge
- 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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