Manager, Compliance Manager, Compliance …

Prudential
in Kuala Lumpur, Malaysia
Permanent, Full time
Be the first to apply
Competitive
Prudential
in Kuala Lumpur, Malaysia
Permanent, Full time
Be the first to apply
Competitive
Manager, Compliance
At Prudential, we understand that success comes from the talent and commitment of our people. Together, we have a shared vision in securing the future of our customers and our communities. We strive to build a business that you can shape, an inclusive workplace where everyone's ideas are valued and a culture where we can thrive together. Our people stay connected and tuned in to what's happening around us, keeping us ahead of the curve. While focused on the long-term, we look to the future to bring growth, development and benefit to everyone whose lives we touch.

To ensure proper guidance and advice are given through compliance review and other means to ensure that distribution channels and its sales force conduct their business ethically and in accordance with applicable local laws, regulations, guidelines and regional compliance standards.

PRINCIPAL DUTIES & RESPONSIBILITIES:
  • Provide sales compliance support, regulatory guidance and updates to distribution channels with regards to their business operations on sales processes.
  • Work together with Regulatory Compliance and distribution channels in managing regulatory changes impacting the sales related process, ensuring gaps and action plans are identified and implemented within agreed timeline.
  • Assist in implementation and enhancement of the data analytic system and framework for detection and deterrence of high-risk sales person to mitigate risk of sales misconduct across PAMB's distribution channels.
  • Using results from data analytics, establish and enhance Sales Compliance programmes, procedures and checklists for periodic monitoring, including taking appropriate steps to improve the effectiveness. These includes planning and carrying out mystery shopping, agency office visit, compliance review on 1st line monitoring activities, etc., for all distribution channels in accordance with the Annual Compliance Plan.
  • Implement sales compliance initiatives rolled-out by PCA Compliance including development of localised policy and procedures.
  • Conduct and manage sales compliance training to sales compliance, sales team and sales support team of all distribution channels to improve their understanding on sales regulatory requirements. Develop and update the sales training materials, as appropriate.
  • Assist in periodic internal and external reporting.
  • Carry out any sales related assignments as may be assigned from time to time.


QUALIFICATIONS & EXPERIENCE:
  • Degree in Finance / Accounting / Business Administration or other related discipline.
  • 3-5 years' working experience in the related field; working knowledge in compliance or internal audit function in financial institutions or in Big Four with insurance or banking engagement would be an advantage.
  • Excellent written and oral communication skills
  • Good command of English and Bahasa Malaysia.
  • Good understanding of compliance principles and best ethical practices.
  • Mobile and able to travel within Malaysia.
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