Market Conduct Senior Specialist
Prudential
Thành phố Hồ Chí Minh
5 ngày trước

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners.

We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions.

We pledge to make Prudential a place where you can Connect, Grow and Succeed.

Carry out activities of Market Conduct Team which deals with the distribution channels on market and ethical conduct matters.

Assist on-going monitoring related to Sales Conduct :

Develop and maintain KCRIs for PVA to demonstrate that the risk areas are monitored on a regular basis.

Identify potential market conduct risks (e.g., mis-selling risks) and shortcoming in controls; provide suggestions for preventing violations and / or customer detriment, and decreasing financial loss, and monitor agreed actions.

On-going review of agent fraud detection MIS; identify irregular trends and provide compliance advice to strengthen internal controls and / or improve operating procedures and monitor agreed actions.

Develop exception report and transfer exception cases / red flag cases to Investigation team for investigation.

Train and educate the Distribution Force to increase their awareness and responsibility in ethical and professional conduct, and management of customer interests.

Develop preventive and detective controls on sales force violations, and assess performance of controls, as and when required.

Coordinate with Investigation Team Lead in planning and delivery of the spot checks to ensure controls are working effectively.

Assist Team Lead in the setting of disciplinary policy and appeals process for the Sales Force Disciplinary Committee (SFDC)

Periodically review the relevance of market conduct guidelines and appropriateness of sanctions against the sale force.

  • Liaise with relevant stakeholders in setting Disciplinary Policy for sales channel; Ensure the Matrix is updated when as and when required, or at least annually;
  • Assist in coordination and reporting

    Coordinate with PCA and PVA investigation teams on all investigation matters and develop and deliver training on investigation techniques to Investigation and MC teams.

    Ensure that relevant market conduct MI (e.g., fraud MIS, etc.) are timely and accurately prepared and submitted to related recipients.

    Others : to be assigned by Department Head and / or Company’s top management (if any), which may include specific projects / assignments across compliance and financial crimes areas.

    Qualification :

  • Bachelor’s Degree in related areas (Auditing / Accounting / Banking / Economics or Commerce)
  • Knowledge of life insurance or financial services industry
  • Experiences :

    Mandatory : At least 6-year experience in insurance or financial services industry

  • Internal Auditor experience is preferred.
  • Good knowledge in the insurance / banking business
  • Knowledge and skill set :

  • Audit, analysis, reporting
  • English proficiency in writing and presentation
  • Highly developed influencing, negotiating, decision making and presentation skills
  • 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 special requirements.

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