Market Conduct Senior Specialist
1 week ago
Market Conduct Senior Specialist
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.
**Job Purpose**
Ensure compliance with laws, regulations and ethical conduct matters that have a substantial adverse impact on customers, salesforces, employees, the company and the market, promote the fair treatment and protection to customers.
**Responsibilities**:
- Conduct review, monitoring, analyzing to identify trend, unusual activity related to violation, fraud, potential market conduct risk and shortcoming in control.
- Review and enhance indicators / systems for effectively monitoring.
- Review and develop preventive and detective control on violation, fraud and assess performance of control as and when required.
- Provide suggestions to strengthen internal controls and improve operating procedures for preventing violation, fraud and customer detriment.
- Support to prepare training course and engage with relevant stakeholder in delivering the course to enhance the awareness of compliance, management of customer interests, ethical and professional conduct.
- Support to review and maintain disciplinary policy and other required procedure / processes for sales force.
- Engage with business functions and collect feedbacks when reviewing policy, procedure, Memorandum,... with matter related to Market Conduct's scope of work.
- Prepare necessary reports in English and Vietnamese
- Engage in the activities of the department / company.
- Other tasks to be assigned by the management, including field trips.
Job ID 24120355
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