Head of Partnership Distribution Risk and Compliance Management

2 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 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.

Job 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.

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