Market Conduct Manager

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.

Job Responsibilities

• Conduct review, monitoring, analyzing to identify trend, unusual activity related to violation, fraud, potential market conduct risk and shortcoming in control.

• Institute and maintain an appropriate market conduct program across relevant first-line teams and MCC Team.

• Develop preventive and detective control on violation, fraud and assess performance of control as and when required.

• Provide suggestion to strengthen internal control and improve operating procedure for preventing violation, fraud and customer detriment.

• Design, develop 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.

• Develop and maintain disciplinary policy and other required procedure / process for sales force.

• Advise to business function in reviewing policy, procedure, Memorandum, … with matter related to Market Conduct’s scope of work.

• Prepare necessary reports.

• Engage in the activities of the department / company.

• Other tasks to be assigned by the management, including field trips.

Qualifications

Mandatory

• Bachelor’s degree in Law / Economics / Finance / Banking / Business Administration

• Candidate with knowledge of insurance or finance

Experience

Mandatory

• At least 3 years experiences in legal / compliance/ audit or relevant field.

Beneficiary

• Candidate with working experience in finance or insurance industry is an advantage

Knowledge and skill

• Proactive & integrity
• Analytical skill

• Problem solving skill

• Sound and practical business judgment

• Presentation skills

• Reporting skills (preferred in English)

• Communication and negotiation skills
• Good computer skill (Excel, Word and Power Point)

Competencies

• Execution Excellence: We are relentless and resilient in delivering to the highest standards of efficiency and effectiveness

• Customer Centricity: We are passionate about our customers, putting them at the core of all our key decisions

• Working Together: We work collaboratively, always helping and communicating with each other

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.