Conduct Surveillance Officer

4 days 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 ambitions. We pledge to make Prudential a place where you can Connect, Grow and Succeed.

Job Summary:
Job Descriptions:

- Investigate any complaints or allegations of serious misconduct in a fair, independent and prompt manner.
- Interview representatives and conduct debriefing sessions with the Agency Leaders and the Distribution on the outcome of the investigation.
- Provide sound assessment and make recommendation in accordance to the regulations/guidelines or internal policy.
- Mete out the prescribed sanction(s) for any breaches of the regulations/guidelines or internal policy by the distribution channels, including the lodgment and liaising with local enforcement agency and regulator.
- Be competent and conversant with the relevant contents and requirements of applicable regulations, industry standards, Regional Compliance Standards and PACS’ business rules.

Replacement of Policy (ROP)
- Executing the end to end ROP appeal assessment
- Assessing ROP appeals and approver for their assessment.
- Managing agency distribution and clients’ call-backs.

Fitness and Propriety Assessment
- Provide support and advice to business on matters relating to ongoing due diligence of existing representatives.
- Undertake ad-hoc tasks, projects or reviews as directed by Lead, Conduct Sales Surveillance/Head of Conduct Sales Surveillance/Head, 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:

- At least 2-5 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.

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