Manager, Regulatory Compliance Advisory

Prudential Group; Kuala Lumpur; On-site; MYR 60,000 - 90,000; Full time

Job summary

A leading financial solutions provider in Asia, Prudential Group seeks an experienced Compliance Officer to ensure operations align with regulatory requirements. The role involves guiding internal stakeholders, managing compliance reports, and enhancing the understanding of compliance principles within the organization. Join Prudential for a rewarding career that fosters growth and mutual respect.

Benefits

Medical

Loans

Dental

Sports (e.g., Gym)

Vision

Festive Eve Leave (2 days)

Onboarding

Welcome Re

Qualifications

• At least 8 years’ experience in compliance, audit, legal, or related roles.
• Proficiency in English and Bahasa Malaysia.
• Knowledge of insurance, banking, asset management, or financial services operations.

Responsibilities

• Provide regulatory compliance support and guidance to internal stakeholders.
• Manage and monitor regulatory changes and assist in developing compliance procedures.
• Conduct Compliance training for Business Functions to improve understanding of regulatory requirements.

Skills

Regulatory compliance

Gap analysis

Compliance training

Education

Degree in Law, Finance, Accounting, Business Administration, or related fields

Job description

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To provide support in the design and implementation of compliance programs, policies, and procedures, and to provide proper guidance/advice to ensure that the Business Functions conduct their operations ethically and in accordance with applicable laws, regulations, guidelines, and Group compliance standards.

PRINCIPAL DUTIES & RESPONSIBILITIES:

1. Provide regulatory compliance support, guidance, and advice to internal stakeholders regarding regulatory developments, gap analysis, projects, initiatives, and process enhancements.
2. Manage and monitor regulatory changes, coordinate gap analysis with relevant Business Functions, and track action plans to closure.
3. Assist in developing or updating Regulatory Compliance procedures and checklists where relevant.
4. Assist in rolling out changes to Group Compliance Standards to Business Functions, conduct gap analysis, and track actionable items to closure.
5. Assist in preparing the Annual Compliance Plan and ensure relevant activities are completed on time.
6. Assist in preparing compliance reports for the Executive Risk Committee, Board Audit Committee, ExCo, Group Compliance, and other stakeholders.
7. Liaise with Regulators and Group Compliance regarding regulatory examinations or reviews.
8. Represent the Department as a compliance advisor in initiatives, projects, or process enhancements.
9. Conduct Compliance training for Business Functions to improve understanding of regulatory requirements; update training materials as needed.
10. Participate in compliance reviews or thematic reviews to test the effectiveness of risk controls.
11. Provide regulatory compliance support and advice related to Product and Investment queries, initiatives, and process enhancements, including:

• Review product-related materials for compliance;
• Review monthly Investment Compliance reports;

Support market conduct compliance, engaging with Product Implementation Committee, reviewing marketing literature, and ensuring regulatory adherence.

Review Investment Compliance Reports and supervise corrective actions.

Provide compliance advice and mentorship to ensure adherence to local regulations.

JOB SPECIFICATION

• Degree in Law, Finance, Accounting, Business Administration, or related fields.
• At least 8 years’ experience in compliance, audit, legal, or related roles; experience in insurance or banking is advantageous.
• Proficiency in English and Bahasa Malaysia.
• Knowledge of insurance, banking, asset management, or financial services operations.
• Understanding of compliance principles and ethical practices.
• Familiarity with regulatory guidelines in the financial services industry.

Unlock job insights

Salary match, Number of applicants, Skills match.

Your application will include questions about your experience and qualifications, including your expected monthly salary.

A rewarding career awaits at Prudential, where we believe in making a difference by building brighter futures for our customers, employees, and society. We foster an environment of mutual respect and understanding, supporting both professional and personal growth. As a leading financial solutions provider in Asia, Prudential offers ample career opportunities.

Perks and benefits include Medical, Loans, Dental, Sports (e.g., Gym), Vision, Festive Eve Leave (2 days), Onboarding, and Welcome Re.

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