Distribution Surveillance Officer

7 days ago

Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED 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**:
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. This includes 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
- Maintaining the central depository of any issuance of meted sanctions in PACS through the One Sanction Framework.
- Handling 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

  • Distribution Surveillance Officer

    1 week ago

    Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

    Roles & Responsibilities 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...

  • Distribution Surveillance Officer

    4 days ago

    Singapore Prudential Plc 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...

  • Sales Surveillance Officer

    1 week ago

    Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

    The role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company. You are also required to perform investigation of any sales conduct related...

  • Sales Surveillance Officer

    2 weeks ago

    Singapore Prudential Full time

    Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

  • Sales Surveillance Officer

    7 days ago

    Singapore Prudential plc Full time

    Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

  • Distribution Surveillance Officer

    7 days ago

    Singapore Prudential plc 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...

  • Distribution Surveillance Officer

    1 week ago

    Singapore Prudential plc 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...

  • Sales & Conduct Surveillance Officer

    3 days ago

    Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

    **Balanced Scorecard (BSC) Framework** - Administer the MAS Balanced Scorecard (BSC) framework. - Conducting checks required under the BSC framework, including documentation review of sales documents, client surveys and BSC validation of misconduct and mystery shopping cases. - Meet the requirements of the regulatory Balanced Scorecard (BSC) Framework...

  • Sales & Conduct Surveillance Officer

    7 days ago

    Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

    **Job Description**: **Job Profile Summary**: You are also required to perform investigation of any sales conduct related complaints or allegations. Balanced Scorecard (BSC) Framework - Administer the MAS Balanced Scorecard (BSC) framework. - Conducting checks required under the BSC framework, including documentation review of sales documents, client...

  • Associate - Compliance, Monitoring and Surveillance

    2 weeks ago

    Singapore NOMURA SINGAPORE LIMITED Full time

    **Company overview** **Function Overview**: The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia,...