Promote proactive risk and compliance culture at PVA by leading the team to success and working effectively with all stakeholders across all Lines of Defense.
Ensuring high operating integrity and robustness of the internal control environment.
Support in other matters related to compliance and other project relevant to compliance functions as requested by line manager.
Ensure timely escalation of any compliance or risk related matters to the Head of Compliance.
Scope 1- ABC Governance
Support line manager to maintain and update PVA ABC standards and guidelines in line with Group/PCA requirements and local regulations.
Support line manager to maintain and enhance systems for ABC transactions (i.e. GHM system) to be in line with requirements and facilitate operations of business functions
Scope 2- Training & Building Compliance culture
Follow up to update the ABC training program of PVA including induction training, annual refresher and training for high risk staff, agents to ensure they are in line with Group/PCA standards
Scope 3 - Monitor/Review and Advisory
ABC Risk and control assessment Support line manager for annual ABC risk assessments and implement the remediation plan
Support line manager to review and enhance controls to mitigate ABC Risks
Provide guidance to business functions on G&H, CSR/Sponsorships and other ABC related transactions
G&H Budget to GO monitoring and report. Perform Partner/vendor Due diligence and Risk assessment
GHM transaction monitoring: periodically review GHM transactions and reconcile with Accounting books to ensure the compliance (pre-approval, declaration of G&H transactions)
Review ABC due diligence exercises for vendors/partners
Develop and operate a risk-based post transaction monitoring activities for ABC high risks areas
Scope 4 - Data Analysis & Reporting : to prepare analyze periodic MIS reports and any additional internal reports required for Compliance activity to prepare, maintain and update all current ABC reporting to Management team (including Audit Committee, Risk Committee, EXCO, Group Compliance team)
Scope 5 - Team support : Support line manager in monitoring, developing the team as well as in other matters related to compliance and other project relevant to compliance functions as required.
Scope 7 - Other Compliance topics: Support line manager to perform the regulatory compliance activities (e.g. product related materials review, compliance advice), as assigned.
Qualification:
Mandatory: University Degree in relevant field of study
Mandatory: Graduated in related areas (Statistics, Economics, Commerce, Audit)
Mandatory: At least 3-year experience in insurance or financial services industry
Beneficiary: Financial Crimes/Compliance is preferred and/or gGood knowledge in the insurance/banking business
Knowledge and skill set:
Good understanding of local laws and regulations.
Good understanding of risk management and the 3LoD
Good English communication and comprehension skills (i.e. speaking, writing and reading)
Communication skills, advisory skill, multi-tasking
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 PVA maintains a robust compliance and internal control function environment with emphasis on providing sound compliance advisory and support as the SME team for ABC & COI matters to the PVA business within the Compliance and Internal Controls team.
Accountability
- Oversee Anti Bribery & Corruption Risk (ABC) and Conflict of Interest (COI) of the Company. This embraces many areas such as developing an effective control environment, reviewing internal and external events, developing and monitoring internal management information and escalations for early warning signals etc, and working with the business to minimize financial crimes risk.
- Provide risk based inputs and challenge to an effective compliance plan to support for business growth but still ensure that business changes or initiatives are in line with regulatory requirements and regional policies.
- Ensure timeliness and quality of key activities deliverables in accordance with compliance plan and other requests from key stakeholders.
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