Senior Manager, Regulatory Compliance

Prudential

Kuala Lumpur, Malaysia
Sales quality assurance
Sales conduct risk management
Regulatory governance
Provide leadership support in the design and implementation of compliance programmes, 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 regional compliance standards

Job Summary

  • Provide leadership support in the design and implementation of compliance programmes, 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 regional compliance standards.
  • The incumbent is responsible to provide leadership support in driving the design and implementation of regulatory compliance program in the areas of sales quality assurance, sales conduct risk management, regulatory governance and compliance incident management in accordance with applicable local laws, regulations, guidelines and Group Compliance standards.
  • Prudential’s purpose is to be partners for every life and protectors for every future.

Matching Summary

Provide leadership support in the design and implementation of compliance programmes, 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 regional compliance standards.

Skills & Requirements

Must-have

  • Sales quality assurance
  • Sales conduct risk management
  • Regulatory governance
  • Compliance incident management
  • Regulatory change management

Nice-to-have

  • Partners for every life
  • Protectors for every future
  • Connect, Grow, and Succeed
  • Prudential is an equal opportunity employer

Key Requirements

  • 8-10 years experience in compliance, audit, legal
  • Degree in Accounting, Finance, Law, Business
  • Strong knowledge of regulatory guidelines
  • Good knowledge of financial services operations

Work Rights

Not specified

Tailored Resume

Cover Letter