Regulatory Affairs Manager
5 months ago
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 role is to support the Line Manager in carrying out the operation and achieving the objectives of Regulatory Affairs dept.. (Vị trí này hỗ trợ Quản lý trực tiếp thực hiện các hoạt động và đạt mục tiêu của phòng ban Tuân thủ Pháp luật.)
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 Group Compliance Standards.
(Hiểu, tuân thủ và thực hiện đầy đủ các Chuẩn mực Tuân thủ của Tập đoàn).
- Understand and follow key laws and regulations on PVA’s business and operations.
(Hiểu và tuân thủ các luật và quy định pháp luật liên quan đến hoạt động và lĩnh vực kinh doanh của Prudential Việt Nam).
- Support Line Manager and Management in making 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.
(Hỗ trợ Quản lý trực tiếp và Ban Giám đốc trong việc thực hiện các chương trình tuân thủ (ví dụ như quản lý thay đổi quy định
pháp luật, định kỳ xem xét việc tuân thủ 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).
- Support and involve in the process of compliance risk management and control to ensure the achievement of regulatory
compliance.
(Hỗ trơ và 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 Affairs operating manuals to be in line with local and Group regulations
(Duy trì và cập nhật các cẩm nang hoạt động của phòng Tuân Thủ Pháp luật để đáp ứng các quy định pháp luật Việt Nam và
Tập đoàn)
Scope 2 Compliance Approval and Advice
(Phê duyệt và Tư vấn liên quan tuân thủ)
Actively responsible for the compliance approval process for all new and revised product, 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 Regulatory Affairs framework and policies.
(Làm việc với các bộ phận liên quan để nâng cao nhận thức về Chương trình và các chính sách của phòng Tuân Thủ Pháp
Luật).
- 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 Regulatory Reporting and Liaison
The following scopes of works would be applied for such regulatory engagement activities: Inward Regulatory Correspondences,
Outward Regulatory Correspondences, and Regulatory Inspection/Review/Visit.
(Các phạm vi công việc bên dưới sẽ áp dụng cho các hoạt động làm việc với Cơ quan pháp luật gồm: Thư từ/Yêu cầu n
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