Manager - Compliance Advisory

Manager - Compliance Advisory

Prudential Financial, Inc
Not Specified
Not Specified

Job Description

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions. We pledge to make Prudential a place where you can Connect, Grow and provide customer centric solution and recommendation for new product, new initiatives, and business processes from Compliance perspective
1. Provide compliance advices to mitigate potential regulatory risk, with reference to External Regulation, Regional Compliance Standard and other compliance related internal policies through documents review and discussion
2. Conduct review to various product related documents
3. Conduct compliance thematic or regular review on significant compliance issues such as: Compliance analysis on risk indicators, Customer Risk Commitment Routine Report, Conduct Customer Commitment Annual Assessment, Product Review and Risk Assessment (PRRA) report.
4. Accountable for New Regulatory process as assigned by Supervisor, including providing initial review, communication to related parties, preparing gap analysis, monitor follow-up action implementation to close gap, providing regulatory compliance report, record-keeping for the evidence related to the regulatory changes process and updating regulatory matrix (e.g. Take the role as Person in Charge (PIC) from Compliance for the Regulatory Task Force).
5. Support preparation of Annual Compliance Plan using Tool of Risk Assessment for Compliance (TRAC) in coordination with other Compliance Team
6. Support ad-hoc compliance review/project/task, and support company projects as assigned
7. Conduct proper documentation of review result and advices provided to other department/staff
8. Support any ad-hoc request from regional Compliance regarding compliance related matters as assigned (PCA Visit, Implementation of Regional and Group Policy, etc)
9. Communicate with regional regarding compliance related matters as assigned (PCA Visit, Implementation of Regional and Group Policy, etc)
10. Provide and review the Compliance SOP in annual basis or if at any time as required by regulation/Prudential standard.
11. Provide compliance socialization (as required) to internal PLA/Compliance Coordinator Become the main PIC for PCA Regional Compliance Project
12. Support for ILP Project Implementation
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 special requirements.

Job Details

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Prudential plc provides life and health insurance and asset management, with a focus on Asia and Africa. We help people get the most out of life, by making healthcare affordable and accessible and by promoting financial inclusion. We protect people's wealth, help them grow their assets, and empower them to save for their goals. The business has more than 17 million life customers in Asia and Africa. Prudential has been providing trusted financial security for 95 years and is listed on stock exchanges in London, Hong Kong, Singapore, and New York. We are proud to be one of the 380 companies across 11 sectors included in the 2021 Bloomberg Gender Equality Index. The index measures gender equality across five pillars: female leadership and talent pipeline, equal pay and gender pay parity, inclusive culture, sexual harassment policies, and pro-women brand. Our inclusion in this global index is testament to our commitment to nurturing diverse talent. #BloombergGEI . Prudential plc is not affiliated in any manner with Prudential Financial, Inc., a company whose principal place of business is in the United States of America or with the Prudential Assurance Company, a subsidiary of M&G plc, a company incorporated in the United Kingdom.

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