Manager, Market Conduct
Prudential
Hong Kong
2天前

At Prudential, we understand that success comes from the talent and commitment of our people. Together, we have a shared vision in securing the future of our customers and our communities.

We strive to build a business that you can shape, an inclusive workplace where everyone’s ideas are valued and a culture where we can thrive together.

Our people stay connected and tuned in to what’s happening around us, keeping us ahead of the curve. While focused on the long-term, we look to the future to bring growth, development and benefit to everyone whose lives we touch.

Conduct investigations on sales force related misconducts, handle requests from regulators relating sales misconduct complaints and perform regular monitoring on sales activities of sales force so as to identify, lead, minimize and mitigate compliance risks, and to ensure compliance with regulations and Group policies.

Description

  • Investigation of customer complaints / non-customer complaints which are related to sales force :
  • Conduct investigation with agent / sales staff; and agent’s / sales staff’s uplines for explanation and statement;
  • Interview relevant parties for investigation purpose, where necessary;
  • Liaise with all relevant parties on any findings;
  • Provide fact summary including finding and recommendation for management review
  • Review draft reply letters;
  • Feedback sales forces’ / business lines’ concerns on company guidelines and procedures;
  • Identify irregular complaint trends and provide compliance advice to strengthen internal controls and / or improve operating procedures; and
  • Liaison with law enforcement and regulators on cases requiring Prudential’s assistance.
  • 2. Investigation of sales force cases received from other sources (Group Confidential Helpline / compliance hotline / report from sales force, etc.)

  • Conduct investigation with agent / sales staff; and agent’s / sales staff’s uplines for explanation and statement; and
  • Prepare investigation report for management and Group.
  • 3. Disciplinary action :

  • Liaise with relevant stakeholders in handling the administration of the Disciplinary Framework for sales force;
  • Ensure that the disciplinary action on agent / sales staff is recommended according to the prevailing disciplinary policy; and
  • Prepare reports to seek management approval on disciplinary actions on sales force.
  • 4. On-going monitoring related to financial crimes :

  • Design and develop effective MIS for fraud detection;
  • On-going review of fraud detection MIS and conduct further investigation where necessary;
  • Regular reporting on investigation for management review; and
  • Identify irregular trends and provide compliance advice to strengthen internal controls and / or improve operating procedures.
  • 5. Prepare regular management reports (e.g. Monthly Compliance / Risk Report, reporting of significant cases to local management committee and audit committee, etc.).

    Qualifications and Experience

  • Degree holder in Accounting or Business Administration; Certified Fraud Examiner is an advantage.
  • Minimum of 5 years’ experience in compliance / audit. Work experience in law enforcement body or complaints handling is an advantage.
  • Fluent in both English and Cantonese / Mandarin.
  • Good interview and report writing skill.
  • Good knowledge in life and general insurance products
  • Customer-oriented with good interpersonal skills

    Join a team who understands that at the core of what we DO, is people.

    Every day, we spark our collective talent and expertise to reimagine the future of well-being; so we can continue to make a positive impact on our customers and our communities.

    Prudential is an equal opportunity employer. We provide opportunities for people regardless of their gender, ethnicity, disability status, age, religion, caring responsibilities or sexual orientation.

    A diversity of skillsets and backgrounds enriches the organisation. Prudential believes that diversity of experience, thought and background is vital to success, both today and in the future.

    Click to find out more about our diversity and inclusivity policy.

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