Distribution Risk and Compliance Management Senior Specialist

Job description

Prudential’s 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 people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed. This job holder will play crucial role in managing and coordinating all PCA and PVA assignment for Risk and Compliance matters within Distribution. The job holder is also in charge of preparing all reports to external parties, and assisting the R&C Management Senior Manager in PVA and PCA exercises related to Risk and Compliance matters, perform data analytic to identify fraudulent activities, monitor the Distribution performance trends and other related matters, and other request from Line Manager The responsibilities of the R&C Management Senior Officer consist of but not limited to the following: Monitoring monthly management information (MI) reports, tracking quality of sales activities in conjunction with company’s policies, including, but not limited to, customer commitments policy, suitability requirements, sales conducts and practices, including management of TR/RB, sufficient and proper training and licensing, management of customer money, etc. Perform data analytic on Suspicious Activities, including but not limited to Fraudulent activities, misconduct, and agents’ attitude and root-cause analysis to come up with the Action Plans for identified issues Meet with representatives of Risk Division [Legal, Compliance, ERM] on the issues noted, the improvements to be done and things need to consider by the concerned distribution forces. Perform thorough and continuous SQA activities, including field spot-check/reviews, with related parties with objectives to ensure determined action plans are practicable, relevant and able to address root causes of identified risks/issues. Monitor the progress of actions (owned directly by the respective sales forces), and update the same to the SC at its meeting interval Conduct communication, sharing or training to sales forces for purposes of raising awareness on company policies and requirements. Support Distribution manager in circulating and communicating the critical guidelines and/or policies to agents/sales staff in local offices/banks. Perform Contract management for PD and support PD the matters related to contract and partners Drive process improvement and policy development initiatives that impact the function Gain and update job knowledge to remain informed about novelty in the field Other direct request from Line Manager Key Success Factors: Proven working experience related to Accounting, Auditing, Planning, Analysis or Internal Control Proficient in spreadsheets, databases, MS Office Hands on experience with reporting and analysis for the assigned indicators Excellent Professional presentation, reporting and communication skills in English and Vietnamese Proven knowledge of operational forecasting and diagnosis, corporate governance, sale performance and information analysis Well informed in current operational and financial subjects, accounting, tax laws, money market and business environments Has abilities to transfer knowledge, training and work independently BS degree in Accounting, Finance, Economics , Statistic or related fields Detailed oriented and has the ability to think out-of-the-box Experiences in related industries such as banking, insurance, accounting, auditing or consulting are not required but a plus 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.