Market and Customer Conduct Senior Manager (Quản lý Cấp cao Giám sát Chuẩn mực Kinh doanh)

Vista previa de la oferta

Market and Customer Conduct Senior Manager (Quản lý Cấp cao Giám sát Chuẩn mực Kinh doanh)

senior · Audit & Accounting

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
  • The Market and Customer Conduct Senior Manager is responsible for leading the Market and Customer Conduct function and managing the Market and Customer Conduct Team to ensure effective oversight of market conduct, customer conduct, and sales conduct risks.
  • The role ensures compliance with applicable laws, regulations, internal policies, and ethical standards while promoting fair customer treatment, protecting customer interests, and safeguarding the Company's reputation and integrity.
•  Key Responsibilities
  • Lead, develop, and manage the Market and Customer Conduct Team, providing strategic direction, coaching, performance management, and talent development to build a high-performing and professional conduct risk function. Drive team capability, accountability, and continuous improvement to support evolving business and regulatory requirements.
  • Establish and maintain the Market and Customer Conduct Program, including governance frameworks, policies, procedures, standards, and monitoring activities to identify, assess, and manage conduct risks across the organization. Lead reviews and analysis to detect misconduct, distribution risks, customer detriment, sales quality issues, emerging trends, and control weaknesses, ensuring timely escalation and remediation.
  • Oversee the design, implementation, and effectiveness assessment of preventive and detective controls, including quality assurance, mystery shopping, thematic reviews, and other conduct monitoring initiatives. Drive enhancements to strengthen customer protection, business integrity, and risk management effectiveness.
  • Act as a trusted advisor to business and functional stakeholders on market conduct matters, reviewing products, customer journeys, sales practices, policies, procedures, and strategic initiatives to ensure conduct risks are appropriately addressed. Provide practical recommendations to improve customer outcomes, governance, and regulatory compliance.
  • Promote a strong conduct culture through training, awareness programs, and stakeholder engagement. Oversee salesforce conduct governance, including conduct investigations, disciplinary frameworks, and misconduct assessment to ensure consistent and fair application of standards across the organization.
  • Prepare and present conduct risk reports, dashboards, management papers, and committee updates. Coordinate with cross-functional stakeholders to resolve issues, monitor remediation actions, and ensure effective implementation of conduct risk management initiatives. Perform other duties and projects assigned by management.
•  Job Requirements
  • Bachelor's degree in Law, Finance, Economics, Banking, Business Administration, or a related qualification
  • At least seven years of experience in compliance, legal, audit, risk management, internal control, insurance, or financial services.
  • Experience in market conduct, customer protection, sales quality oversight, or regulatory compliance is preferred.
  • Strong leadership, stakeholder management, analytical thinking, communication, reporting, and project management skills are required.
  • The successful candidate should demonstrate integrity, accountability, customer centricity, sound business judgment, and the ability to influence and lead teams through change and continuous improvement.
•  Key Competencies
  • Customer Centricity
  • Execution Excellence
  • Strategic Thinking
  • Leadership and Talent Development
  • Risk and Control Mindset
  • Stakeholder Influence
  • Collaboration
  • Continuous Improvement

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.