Regulatory Compliance Senior Specialist

4 months ago


Ho Chi Minh City, Vietnam Prudential plc Full time

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.

This role is to work directly with business under the support of Line Manager in carrying out the operation and achieving the objectives of Regulatory Compliance function.

Scope 1 Prudential and Regulatory Compliance Management
- (Quản lý Tuân thủ Quy định Pháp luật và Quy định Prudential)_
- Understand, follow and implement sufficiently the Regional Compliance Standards.
- (Hiểu, tuân thủ và thực hiện đầy đủ các Chuẩn mực Tuân thủ Prudential của Vùng._
- Understand and follow key laws and regulations on PVA’s business and operations.
- (Hiểu và tuân thủ các quy định và pháp luật chính liên quan đến hoạt động và lĩnh vực kinh doanh của Prudential Việt Nam)._
- Make compliance arrangements (such as regulatory changes management, regular regulatory compliance review for business functions, compliance breach reporting,) to assure the Company compliance with regulatory requirements as well as Prudential policies and guidelines.
- (Thực hiện các chương trình tuân thủ (ví dụ như quản lý thay đổi quy định pháp luật, định kỳ rà soát việc tuân thủ pháp luật của các phòng ban, báo cáo vi phạm tuân thủ,) nhằm đảm bảo Công ty tuân thủ với các yêu cầu pháp luật cũng như các chính sách và hướng dẫn của Prudential)._
- Involve in the process of compliance risk management and control to ensure the achievement of regulatory compliance.
- (Tham gia vào quy trình quản trị và kiếm soát rủi ro tuân thủ nhằm đảm bảo tuân thủ quy định pháp luật)._
- Maintain and update Regulatory Compliance operating manuals to be in line with local and PCA regulations
- (Duy trì và cập nhật các cẩm nang hoạt động của bộ phận Tuân thủ Pháp luật để đáp ứng các quy định pháp luật Việt Nam và Vùng)_

Scope 2 Compliance Approval and Advice
- (Phê duyệt và Tư vấn liên quan đến Tuân thủ)_
- Actively responsible for the compliance approval process for all new and revamped products, including underlying investment funds, relevant sales, product disclosure and training materials to ensure duly compliant with regulatory and Prudential requirements and fair, honest and transparent presentation to customers.
- (Thực hiện quy trình phê duyệt tuân thủ cho các sản phẩm mới và sản phẩm điều chỉnh, bao gồm các quỹ đầu tư cơ bản, các tài liệu trình bày sản phẩm, bán hàng và đào tạo nhằm đảm bảo tuân thủ với các yêu cầu của pháp luật và Prudential và đảm bảo việc trình bày hợp lý, trung thực và rõ ràng cho khách hàng)._
- Provide advice to business functions on complying with relevant regulatory and Prudential requirements.
- (Tư vấn cho các phòng ban về việc tuân thủ với các yêu cầu của pháp luật và Prudential)._

Scope 3 Training and Development
- (Đào tạo và Phát triển)_
- Design and conduct necessary compliance training for the company to ensure sufficient awareness and effective adherence to the company compliance policies and guidelines.
- (Thiết kế và thực hiện đào tạo cần thiết về tuân thủ cho công ty nhằm đảm bảo nhận thức đầy đủ và tuân thủ hiệu quả các chính sách và hướng dẫn của công ty)._
- Communicate to key stakeholders to raise awareness about Compliance framework and key Compliance policies.
- (Làm việc với các bộ phận liên quan để nâng cao nhận thức về Chương trình Tuân Thủ và các chính sách quan trọng của bộ phận Tuân Thủ)._
- When needed, provide coaching and support to other colleagues to accomplish tasks assigned.
- (Hướng dẫn và hỗ trợ các đồng nghiệp khác khi cần nhằm hoàn thành các nhiệm vụ được giao)._

Scope 4 Reporting
- (Báo cáo)_
- Prepare required reports including reports to Regional Compliance and local Regulators.
- (Chuẩn bị các báo cáo được yêu cầu bao gồm báo cáo cho Pháp chế Vùng và cho cơ quan nhà nước)._
- Plan and manage the Annual Compliance Plan.
- (Hoạch định và quản lý Kế hoạch Tuân thủ hàng năm)_

Scope 5 Others
- (Yêu cầu khác)_
- Support Line Manager and management in liaison with regulators to meet regulators’ requirements
- (Hỗ trợ Quản lý trực tiếp trong quá trình làm việc với cơ quan quản lý



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