Vista previa de la oferta
Market & Customer Conduct Manager (Quản lý Giám sát Chuẩn mực Kinh doanh)
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.
Job Purpose
Ensure effective management of market and customer conduct risks by establishing monitoring, governance, and control frameworks to comply with laws, regulations, and ethical standards, while safeguarding fair customer treatment and protecting the company’s integrity.
Key Responsibilities
1. Monitoring & Risk Identification
- Conduct regular monitoring and analysis to identify trends, misconduct, fraud risks, and control weaknesses
- Track key conduct risk indicators (KRIs), sales quality metrics, and unusual activities
- Support reporting and escalation of emerging risks to management
(Consolidated from monitoring, ILP mismatch, and analysis responsibilities)
2. Governance & Program Management
- Implement and maintain market & customer conduct programs across first line and supporting teams
- Support development and execution of governance frameworks, policies, and procedures
- Ensure alignment between Line 1 (business) and Line 2 (compliance oversight)
3. Control & Risk Mitigation
- Design, implement, and enhance preventive and detective controls to address misconduct and fraud risks
- Perform control effectiveness reviews and post-implementation assessments
- Manage key initiatives such as mystery shopping and quality assurance programs
4. Advisory & Process Improvement
- Provide advisory to business units on product, process, and policy improvements
- Review and contribute to internal policies, procedures, and guidelines within conduct scope
- Recommend enhancements to strengthen customer protection and internal controls
5. Training & Conduct Culture
- Develop and deliver training programs to promote compliance, ethical conduct, and customer-centric behavior
- Support awareness initiatives for salesforce and relevant stakeholders
6. Sales Force Conduct Oversight
- Support governance of salesforce conduct, including disciplinary frameworks and case reviews
- Contribute to misconduct assessment and recommendation of appropriate actions
7. Reporting & Stakeholder Coordination
- Prepare periodic conduct risk reports, dashboards, and management updates
- Coordinate cross-functional stakeholders to ensure timely data collection and issue resolution
- Track and follow up on remediation actions
Key Requirements
- Education: Bachelor’s degree in Law, Finance, Economics, Business or related field
- Experience: ~5–7 years in compliance, legal, audit, or risk management
- Skills:
- Analytical and problem-solving
- Stakeholder management and communication
- Risk and control mindset
- Reporting and data analysis
Key Competencies
- Customer-centric mindset
- Strong execution and accountability
- Strategic thinking with practical judgment
- Collaboration and stakeholder influence
- Continuous improvement mindset
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.