Head of Partnership Distribution Risk and Compliance Management

7 days ago


Thành phố Hồ Chí Minh, Vietnam Prudential plc Full time

Head of Partnership Distribution Risk and Compliance Management

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 related matters as well as local
regulatory inspection and audit work within Partnership Distribution. The job holder is required to co-manage with PD SLG team for delivery of risk control advisory activities, management of regulatory change management activities and internal control testing activities. This job holder is also in charge of monitoring MI reports, performing review/deep dive exercise to monitor sales quality key risk indicator/ trend, managing sensitive/high risk issues/cases and other related matters requested by Line Manager.

**Responsibilities**:

- Manage all origination of risk & control related tasks. Directly report to CPDO on gap & impact analysis and be responsible of monitoring and track of all rectification, remediation and prevention tasks.
- With dotted reporting line to Chief Risk Officer, be key liaison to country Risk Communication and Top Leadership Team Communication on PS risk and control matters.
- Manage Risk & Control Self-Assessment (RCSA), monitor existing Departmental Risk Register (DRR) and associate controls to mitigate the risks as well as support relevant Partnership Distribution teams to identify appropriate controls for proper record and implementation.
- Lead quality assurance activities via internal control testing to self-identify control gaps (if any), root causes of identified risks/issues and monitor relevant, practicable remediation action plan including validation of control effectiveness.
- Manage local regulatory change exercise, local regulatory inspection and audit work including gap analysis and remediation action plan, monitor the progress of remediation actions (owned directly by the respective sales forces) and represent to provide update to relevant committees at its meeting interval
- Deliver risk and control related consultancy, review and provide constructive feedback to relevant teams to drive improvement/ enhancement of process, procedures, operation manual, matrix, etc. with embedment of relevant control points.
- Lead risk and control sharing sessions to foster awareness of ISBAM, share lesson learnt/ common pitfalls in the sales process and non-sales processes to PD teams.
- Monitor management information (MI) reports, track key risk indicators in conjunction with company's policies, including but not limited to suitability requirements, sufficient and proper training and licensing, system user access management, etc.
- Perform detailed assessment and analysis of sensitive/high risk cases for further reporting/escalation.
- Gain and update job knowledge to remain informed about novelty in the field.
- Other tasks assigned by Line Manager.

Job ID 25010392


  • Distribution Risk

    3 weeks 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...


  • Thành phố Hồ Chí Minh, Vietnam Standard Chartered Full time

    **JOB SUMMARY** - Work closely with Partners on various fronts (technology, leads volume, SME product display on partners’ platform, contracts T&C, monthly fee payment, partners’ profile on various platforms such as Redux, SCBuy) - Manage validity of related policies, processes & DOIs, partners risk assessments profile and make sure all profiles &...

  • Senior Officer

    3 weeks ago


    Thành phố Hồ Chí Minh, Vietnam Prudential plc Full time

    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...


  • Thành phố Hồ Chí Minh, Vietnam Zalo Full time

    Hồ Chí Minh Full-time Responsible for implementing legal advisory and compliance tasks within the company to ensure adherence to legal regulations related to the activities of products under the Zalo Group. **What you will do**: **A. Legal Advisory & Contracts**: - Lead & provide legal advice on activities related to administration, IT,...


  • Thành phố Hồ Chí Minh, Vietnam Zalo Full time

    Hồ Chí Minh Full-time Responsible for implementing legal advisory and compliance tasks within the company to ensure adherence to legal regulations related to the activities of products under the Zalo Group. **What you will do**: **A. Legal Advisory & Contracts**: - Lead & provide legal advice on activities related to administration, IT,...


  • Thành phố Hồ Chí Minh, Vietnam Manulife Full time

    **The opportunity** This role will be assisted Head of Agency Operation to take proper actions in term of assessment, monitoring and mitigation of the risks across the Agency Operation Department under Agency Channel. **Responsibilities** - Review process, procedures, Memo, Policies within Agency Operation to identify risk and recommend mitigate control...


  • Ho Chi Minh City, Vietnam Talentnet Full time

    $2,000 - $3,000 - Financial Services RESPONSIBILITIES: - 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...


  • Thành phố Hồ Chí Minh, Vietnam Manulife Full time

    **Position Responsibilities**: - Assist the Head of Legal & Compliance to: - maintain current awareness of applicable and proposed laws and regulations and make recommendations to the Head of Legal & Compliance in compliance with applicable regulations; - maintain the Group’s and Company’s compliance policies and procedural manuals, drafting and...

  • Compliance Strategy

    2 weeks ago


    Thành phố Hồ Chí Minh, Vietnam UOB Vietnam Full time

    **About UOB**: United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, as well as...


  • Ho Chi Minh City, Vietnam Manulife Full time

    **_We are a _**_leading financial services provider committed to making decisions easier and lives better for our customers and _**_colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. _**_To help us stand out, we help you step up, because when colleagues are healthy,...


  • Thành phố Hồ Chí Minh, Vietnam Manulife Full time

    **Opportunity** We are looking for a highly motivated and experienced Assistant Manager, Sales Compensation & Campaign Manager: - To provide the data-driven insight, develop and implement effective sales incentive programs and compensation plans for our sales force that align with our business objectives and drive sales performance. - In this role, you...


  • Thành phố Hồ Chí Minh, Vietnam FWD Insurance Full time

    About FWD Group FWD Group is a pan-Asian life and health insurance business with more than 12 million customers across 10 markets, including some of the fastest-growing insurance markets in the world. The company was established in 2013 and is focused on changing the way people feel about insurance. FWD’s customer-led and digitally enabled approach aims...

  • Head of Compliance

    6 days ago


    Ho Chi Minh City, Vietnam AIA Full time

    FIND YOUR 'BETTER' AT AIA - We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us._ - We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can...


  • Ho Chi Minh City, Vietnam Manulife Full time

    We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and...

  • Senior Compliance

    2 weeks ago


    Thành phố Hồ Chí Minh, Vietnam Savills Vietnam Full time

    **JOB SUMMARY** Senior Compliance & Risk Management Executive position is responsible for providing strategic direction in the development, implementation, and maintenance of robust compliance and risk management programs within the Property Management Department. This role involves ensuring adherence to regulatory requirements, mitigating risks, and...


  • Ho Chi Minh City, Vietnam UOB Vietnam Full time

    **About UOB** United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, as well as...


  • Thành phố Hồ Chí Minh, Vietnam Chailease International Leasing Co., Ltd. (Head Office) Full time

    **Mô tả công việc**: (Mức lương: Thỏa thuận) - Establish procedure on risk management and risk management evaluation. - Set up specific risk categories (risk lines) and assign appropriate methods to address violations within each risk category. - Collaborate with the first line of defense to identify and monitor risks. - Analyze and warn of...


  • Thành phố Hồ Chí Minh, Vietnam AIA Full time

    FIND YOUR 'BETTER' AT AIA - We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us._ - We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can...

  • Head of Compliance

    2 weeks ago


    Ho Chi Minh City, Vietnam UOB Vietnam Full time

    **About UOB** United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, as well as...


  • Thành phố Hồ Chí Minh, Vietnam HSBC Full time

    -Job Advert Details **Some careers have more impact than others.** If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you...