Senior Manager, Regulatory Compliance

Job Summary

To 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 Scope

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.

Principal Duties & Responsibilities

• Provide regulatory compliance support, guidance, and advice to internal stakeholders, distribution channels (bank partner and agency), Marketing and Brands and Communication in relation to regulatory developments, gap analysis and projects, initiatives, process enhancements etc. This also includes

Establish and enhance Sales Compliance programs, procedures, and checklists for periodic monitoring, including taking appropriate steps to improve the effectiveness;

Prepare the quarterly FTFC MI report for the ERC, and subsequently for the BAC.

Job Specification

Qualifications

Experience

Requirements

EEO Statement

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

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