Risk & Compliance Manager
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Job Location:
Monthly Salary:
Posted on:
17 days ago
Vacancies:
1 Vacancy
Job Summary
Prudentials purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured for our people customers and partners. We provide a platform for our people to do their best work and make an impact to the business and we support our peoples career ambitions. We pledge to make Prudential a place where you can Connect Grow and Succeed.
Job Profile Summary:
Your role is crucial for ensuring that the company operates within legal boundaries adheres to regulations and maintains ethical standards. Your responsibilities include overseeing regulatory compliance assessing risks and designing and implementing risk and compliance programs. Effective communication analytical thinking and ethical integrity are essential skills for success in this role.
Job Description:
Develop and implement company policies and processes Groups requirements and regulations.
Develop maintain and monitor the annual compliance plan ensuring timely execution of activities.
Provide guidance and assistance to business units regarding relevant regulations specific to the insurance industry. Integrate regulatory requirements into business plans and processes. Clearly articulate compliance-related matters to representatives and/or business units.
Review existing processes relating to data privacy regulatory sales compliance and financial crimes requirements. Identify risks that could impair the companys reputation information security or general operations and implement ways to mitigate or eliminate them entirely.
Collaborate with business functions to document controls related to risk management compliance with insurance laws and regulations established compliance programs internal controls and operational processes.
Assist in monitoring control systems to deal with violations of regulations and internal policies. Perform RCSA and perform control testing to evaluate the effectiveness of key controls.
Oversee and ensure timely and accurate submission of non-financial regulatory reports to relevant authorities.
Assist in managing internal and external audit reviews/projects.
Provide support on regular and/or ad-hoc reporting to relevant governance forums.
Undertake ad-hoc tasks projects or reviews as directed by Head of Risk and Compliance.
Who we are looking for:
Experience in regulated Financial Advisers/Insurance industry and familiar with all applicable statutes rules and regulations relevant to the Financial Advisers industry. These may include the Financial Advisers Act MAS Codes Notices Guidelines and AML/CFT regulations.
Excellent communicator ability to translate regulatory requirements relevant to the business and representatives.
Nimble and flexible to change able to adapt to fast-paced and changing situations.
Experience in Compliance and Risk processes.
Organized and meticulous.
Keen to learn with positive work attitude.
Stakeholder management enjoys working with people at all levels of seniority.
Working Experience:
At least 4-6 years of working experience in risk and/or compliance roles. This experience is preferably gained within the FA/Insurance industry.
Exposure to the Financial Advisers sector regulatory compliance AML and risk management is highly valuable.
Education:
Degree in any discipline.
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.
Required Experience:
Manager
Key Skills
- Arm
- Risk Management
- Financial Services
- Cybersecurity
- COSO
- PCI
- Root cause Analysis
- COBIT
- NIST Standards
- SOX
- Information Security
- RMF
About Company
พรูเด็นเชียล ประกันชีวิต (ประเทศไทย) มุ่งมั่นที่จะช่วยให้คุณก้าวหน้าในชีวิต โดยเราให้ความใส่ใจอย่างเต็มที่เพื่อการบริการที่เป็นเลิศแก่คุณ ค้นหาวิธีที่เราจะสามารถช่วยเหลือคุณได้ที่นี่ ... View more
