Senior Manager, Regulatory Compliance

Regulatory Compliance Support

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.

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