Sales Quality & Compliance Officer

Prudential; Kuala Lumpur; On-site; MYR 90,000 - 150,000; Full time

Job summary

Prudential Services Asia is seeking a compliance professional in Kuala Lumpur to oversee the MAS Balanced Scorecard framework and ensure adherence to regulatory standards. The role involves coordinating with internal and external stakeholders to raise sales advisory quality and manage BSC controls.

You will review sales documentation, conduct investigations, monitor call-backs, and drive training initiatives with the Agency Force to improve overall business quality.

Qualifications

• 3–5 years of experience in a compliance role in a financial institution.
• Preferably with experience dealing with distribution functions.
• Knowledge of Insurance Act, FAA and MAS/CPF guidelines.
• Strong command of English and regulatory language.

Responsibilities

• Balance Scorecard (BSC) framework administration for MAS BSC.
• Set sales advisory standards and collaborate with stakeholders.
• Perform checks under BSC including documentation reviews and mystery shopping.
• Ensure pre- and post-transaction sales quality compliance.
• Handle ROP appeals end-to-end assessment and approval.
• Monitor agency distribution and client call-backs for quality.
• Review mystery shop findings and classify infractions by materiality.
• Conduct trend analysis on MSE findings and drive corrective actions.
• Engage with Agency Force Support Team Lead for training and awareness.
• Undertake ad-hoc tasks as directed by Lead, Monitoring and Reporting / Head of Sales Surveillance.

Skills

Self-motivated

Analytical

Attention to details

English proficiency

Education

Bachelor's degree in Business/Insurance/Finance

Job description

Prudential Services Asia is seeking a compliance professional in Kuala Lumpur to oversee the MAS Balanced Scorecard framework and ensure adherence to regulatory standards. The role involves coordinating with internal and external stakeholders to raise sales advisory quality and manage BSC controls.

You will review sales documentation, conduct investigations, monitor call-backs, and drive training initiatives with the Agency Force to improve overall business quality.