Overall Job Purpose:
To carry out Compliance activities for Prudential Capital in asset management . The job will also involve supporting business units across Prudential Group in specialised projects and ad-hoc consultancy requirements relating to compliance.
Key Accountabilities and Responsibilities
* Provide advice and guidance to business on regulatory changes impacting asset management including gap analysis and business impact assessments
* Liaise with Portfolio Managers & Other Investment Staff on regulatory compliance matters
* Provide support in compliance or business-driven projects and initiatives
* Understanding the Group Governance Manual and its implications on the Business Areas and their internal controls
* Support the business areas and business functions in meeting the Group Governance Manual and Turnbull Self certification requirements.
* Carry out Assurance engagements in lead capacity. When performing assurance reviews identify and report opportunities for improvement in the functioning of business processes resulting in efficiencies.
* Use of regulatory knowledge, business understanding and expert judgement, to quickly identify underlying issues and escalate issues, where appropriate.
* Identify and report opportunities for improvement in the functioning of business processes resulting in efficiencies.
* Demonstrate ability to work as part of a team and individually with delivery and write-up of regulatory monitoring reviews on a timely basis and presentation of findings and recommendations to senior management and key business stakeholders
* Develop and enhance management information, and dashboard reporting Compliance
* Appropriate escalation and tracking of issues as they are identified