Distribution Surveillance Officer

3 weeks ago

Singapore This is an IT support group Full time

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 Summary:
The role of the Distribution Surveillance Officer reports to the Lead, Distribution Audits and Surveillance. The candidate is required to support the Distribution Monitoring team in driving the analytics capabilities and insights to better identify emerging Distribution risks. The candidate will also support the Lead, Distribution Audits and Surveillance in monitoring the trends of complaints, investigations key compliance risk indicators and sales metrics, which will be reported back to the different Governance Committee(s) in the form of regular MI reporting.
Job Description:
Distribution Monitoring
Administer the firm-wide market conduct risk framework to better manage Distribution market conduct risks.
Leverage analytics capabilities and insights to better identify emerging Distribution risks, including monitoring trends of complaints, investigations, key compliance risk indicators, and sales metrics.
Engage and conduct trainings with distribution channels to discuss and create awareness on market conduct and sales compliance issues.
Undertake social media scanning and monitoring to identify online postings that are not in compliance with regulatory or Company requirements.
Provide regular MI reporting to Governance Committee(s) relating to market conduct, fraud, and sales metrics.
One Sanction Framework
Maintain the central depository of any issuance of meted sanctions in PACS through the One Sanction Framework.
Handle any internal or external queries relating to One Sanction Framework and Police Orders/Prohibition Orders from the Police or MAS.
Distribution Audits
Conduct agency reviews to assess Prudential Supervisors' compliance with supervisory competence standards in accordance with MAS / LIA Guidelines.
Others
Undertake ad-hoc tasks, projects or reviews as directed by Head of Distribution Monitoring or Head of Distribution Business Partner.
Who we are looking for:
Competencies & Personal Traits
Self-motivated and driven
Analytical and attentive to details
Basic understanding of the insurance industry and operations
Basic knowledge of regulations and industry guidelines applicable to the insurance/financial industry such as Insurance Act, Financial Advisers Act (FAA) and its subsidiary regulations, Monetary Authority of Singapore (MAS) regulations, Central Provident Fund (CPF) Board regulations, Life Insurance Association (LIA) guidelines.
Working Experience:
Preferably 1-2 years of experience in a compliance role in a financial institution or similar
Preferably with experience in dealing with Distribution functions
Professional Qualifications:
Preferably with Insurance-related certifications (e.g. FLMI (LOMA), CMFAS Module 5, 9, 9A & Health Insurance)
Education:
Degree, preferably in Business, Insurance or Finance related fields.
Language:
Strong command of the English language.
Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and 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.
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