Senior Officer - Risk, Compliance and Legal

Prudential

  • Tp Hồ Chí Minh
  • Lâu dài
  • Toàn thời gian
  • 1 tháng trước
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.To provide risk, compliance & legal support to the Head of Risk, Compliance and Risk (RCL).KEY ACCOUNTABILITIESCompliance
  • 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 responsible for daily investment monitoring via system and compliance reports including communicating with Regional Rule Coding Team for coding new/amended rules, daily access and review compliance workbench in system, warning Fund Managers of potential deviations/breaches, escalating and monitoring deviations/breaches.
  • Enhance and encourage the strong compliance culture across the company.
  • Support Head of RCL to foster and discharge RCL responsibilities from compliance
Risk
  • Provide support to Head of RCL on monitoring, reporting in relation to Risk Management matter.
Legal
  • Provide legal support to all other functions, including legal advice and review documents/contracts.
  • Provide legal support to respective committee such as product committee, investment committee for all private, negotiated investments.
Other Accountability
  • Support Head of RLC in reporting to Clients, local regulators, and ES Head Office, coordinating during audit, inspection, quality assurance reviews, conducting compliance training to staff.
  • Other duties, as assigned.
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.

Prudential