Senior Officer
2 weeks ago
Senior Officer - Risk, Compliance and Legal
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.
To provide risk, compliance & legal support to the Head of Risk, Compliance and Legal (RCL).
**KEY ACCOUNTABILITIES**
**Compliance**
- Conduct on-going and periodic monitoring according to Compliance Monitoring Plan to ensure compliance with regulations and internal policies/guidelines, detect/prevent non-compliance/breaches and recommend improvements/rectification actions to departments in the Company.
- Be responsible for daily investment monitoring via system and compliance reports including communicating with Regional Rule Coding Team for coding new/amended rules, daily access and review compliance workbench in system, warning Fund Managers of potential deviations/breaches, escalating and monitoring deviations/breaches.
- Enhance and encourage the strong compliance culture across the company.
- Support Head of RCL to foster and discharge RCL responsibilities from compliance.
**Risk**
- Provide support to Head of RCL on monitoring, reporting in relation to Risk Management matter.
**Legal**
- Provide legal support to all other functions, including legal advice and review documents/contracts.
- Provide legal support to respective committee such as product committee, investment committee for all private, negotiated investments.
**Other Accountability**
- Support Head of RLC in reporting to Clients, local regulators, and Eastspring Head Office, coordinating during audit, inspection, quality assurance reviews, conducting compliance training to staff.
- Other duties, as assigned.
Job ID 24110367
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