AM - Compliance Advisory (Rolling Intake)

Job Description:

• 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
• Conduct review to various product related documents
• Conduct compliance thematic or regular review on significant compliance issues such as: Product Review and Risk Assessment (PRRA) report
• 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).
• Support preparation of Annual Compliance Plan using Tool of Risk Assessment for Compliance (TRAC) in coordination with other Compliance Team
• Support ad-hoc compliance review/project/task, and support company projects as assigned
• Conduct proper documentation of review result and advices provided to other department/staff
• Support any ad-hoc request from regional Compliance regarding compliance related matters as assigned (PCA Visit, Implementation of Regional and Group Policy, etc)
• Provide and review the Compliance SOP in annual basis or if at any time as required by regulation/Prudential standard.
• Provide compliance socialization (as required) to internal PLA/Compliance Coordinator
• Support Regulatory Task Force in the monitoring of implementation of new/changes on regulation, particularly for SEOJK on Investment Linked Product.