Vista previa de la oferta
Assistant Vice President – Anti-Bribery and Corruption, Sales, and Group Compliance
senior · Risk & Compliance
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.
The Assistant Vice President (AVP) – Anti-Bribery and Corruption (ABC), Sales, and Group Compliance serves as the functional lead and second line of defense responsible for providing strategic oversight, governance, and direction over the Company's Anti-Bribery and Corruption, Sales Conduct, Customer Conduct, and Group Compliance programs. The role ensures that Pru Life UK's practices remain aligned with applicable laws, regulations, Group Compliance Standards, and internal policies while fostering a strong culture of integrity and ethical conduct across the organization.
The role is responsible for leading a team of compliance professionals in the implementation and continuous enhancement of compliance frameworks relating to ABC, sales and marketing compliance, conflict of interest management, customer conduct, and other Group Compliance Standards. The AVP acts as a trusted advisor to business leaders and senior stakeholders by providing expert guidance on compliance risks, regulatory developments, and governance requirements, while driving proactive risk identification, monitoring, reporting, and remediation initiatives.
Strategic Leadership and Governance
Lead the development, implementation, and continuous enhancement of the Company's Anti-Bribery and Corruption, Sales Conduct, Customer Conduct, and Group Compliance frameworks.
Provide strategic direction and oversight to ensure alignment of local compliance programs with Prudential Group requirements, applicable regulations, and industry best practices.
Serve as the primary compliance advisor to senior management on matters relating to ABC, sales conduct, conflict of interest, and other Group Compliance Standards.
Drive a strong culture of ethics, integrity, and regulatory compliance across all business units and distribution channels.
Monitor emerging regulatory developments and assess their impact on the organization, recommending necessary policy, procedural, and control enhancements.
Anti-Bribery and Corruption Oversight
Oversee the Company's Anti-Bribery and Corruption program, including risk assessments, third-party due diligence processes, gifts and hospitality oversight, conflict of interest management, and compliance monitoring activities.
Review and approve high-risk ABC assessments, referrals, investigations, and escalations.
Ensure timely identification, assessment, reporting, and remediation of ABC-related incidents, breaches, and control weaknesses.
Lead periodic reviews of ABC policies, standards, procedures, and governance documents to ensure effectiveness and regulatory alignment.
Sales, Conduct, and Marketing Compliance
Provide oversight and guidance on sales conduct, customer conduct, product compliance, and marketing compliance requirements.
Review and approve high-risk sales, training, promotional, and marketing materials to ensure compliance with applicable regulatory and Group requirements.
Partner with Distribution, Marketing, Operations, Legal, Product, and other key stakeholders to ensure customer-centric and compliant business practices.
Identify emerging conduct risks and recommend controls to mitigate customer, regulatory, and reputational risks.
Compliance Monitoring and Reporting
Oversee compliance monitoring programs covering ABC, sales conduct, customer conduct, and Group Compliance Standards.
Review compliance dashboards, management information reports, key risk indicators, and regulatory metrics for submission to senior management and governance committees.
Ensure timely escalation of significant compliance risks, incidents, breaches, and control concerns to relevant stakeholders and governance forums.
Lead root cause analysis and remediation planning for identified compliance issues.
Stakeholder Management and Advisory
Establish effective working relationships with regulators, internal audit, risk management, business leaders, and Group Compliance counterparts.
Provide expert compliance advice and challenge to business initiatives, projects, new products, strategic partnerships, and transformation programs.
Support business units in implementing regulatory and Group-driven compliance requirements while balancing commercial objectives and customer outcomes.
People Leadership
Lead, develop, and coach a team of Managers, Specialists, and Analysts responsible for ABC, Sales, and Group Compliance activities.
Set clear performance expectations, provide regular coaching and feedback, and ensure effective succession and talent development within the team.
Drive a high-performance culture focused on accountability, collaboration, continuous improvement, and regulatory excellence.
Allocate resources effectively and ensure operational efficiency in delivering compliance services and support to the business.
Training and Awareness
Ensure the effective design, delivery, and maintenance of compliance awareness and training programs relating to ABC, sales conduct, conflict of interest, customer conduct, and Group Compliance Standards.
Promote awareness of compliance obligations and ethical business practices across all levels of the organization.
Compliance
Ensure that all company policies, procedures, programs and instruction are carried out
Be familiar and understand Pru Life UK Compliance Standards. Must be fully aware of his/her responsibilities and competent to carry them out to the required standards. Must report all compliance matters openly and honestly to their Compliance Officer in accordance with the reporting requirements operated by the Compliance Officer. Must operate a process within his/her department to ensure that all relevant compliance matters are identified and reported.
Job Specification
Bachelor's Degree in Accountancy, Finance, Business Administration, Law, Risk Management, or related discipline.
- CPA, Lawyer, CAMS, CFE, ACFS, ICA, CRCM, or equivalent compliance, governance, fraud, or financial crime certification is highly desirable.
- Relevant compliance, governance, risk, audit, or regulatory certifications are an advantage.
- Anti-Bribery and Corruption Frameworks
- Sales and Market Conduct Compliance
- Customer Conduct Risk Management
- Conflict of Interest Management
- Regulatory Compliance
- Corporate Governance
- CPA, Lawyer, CAMS, CFE, ACFS, ICA, CRCM, or equivalent compliance, governance, fraud, or financial crime certification is highly desirable.
- Relevant compliance, governance, risk, audit, or regulatory certifications are an advantage.
- Anti-Bribery and Corruption Frameworks
- Sales and Market Conduct Compliance
- Customer Conduct Risk Management
- Conflict of Interest Management
- Regulatory Compliance
- Corporate Governance
- Risk Management
- Financial Crime Compliance
- Insurance and Financial Services Regulations
- Prudential Group Compliance Standards
- Regulatory Engagement and Governance
- Strong leadership and people management capability
- Strategic and enterprise-wide thinking
- Excellent stakeholder management and influencing skills
- Sound judgment and decision-making capability
- Strong risk assessment and analytical skills
- Regulatory and compliance expertise
- Effective negotiation and challenge capability
- Strong written and verbal communication skills
- Ability to simplify complex regulatory requirements
- High level of integrity, professionalism, and credibility
- Strong project management and change management skills
- Minimum 8-10 years of progressive experience in compliance, governance, risk management, audit, legal, or regulatory functions within the financial services industry, preferably insurance.
- At least 3-5 years of people leadership and team management experience
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.