Compliance AO

Prudential Financial, Inc

Taiwan, Taipei City

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Posted 20 hours ago
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Job Description

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.

The purpose of the position is to assist the company's operations to comply with legal regulations and group requirements and effectively control compliance risks. It requires close interaction, communication and contact with the legal compliance supervisors and legal compliance windows of each department on compliance-related matters.

Main Responsibilities:

Responsible for matters related to legal change management/product review/review of literature and advertising/business process monitoring.
Responsible for the semi-annual self-assessment of legal compliance and review and update of the legal compliance manual.
Assist in ensuring that all stages of product development, product sales, and customer complaints comply with the group's customer behavior risks and the principles of fair hospitality required by laws and regulations.
Other supervisors assign projects.

Job content:

1. Responsible for handling legal change management-related business and product-related business review

Optimize the legal change management process so that relevant regulatory changes can be properly identified and implemented in a timely manner
Real-timely update legal change management-related databases and compliance manuals

Communicate with relevant units regarding changes in regulations, confirm assessments and confirm that response plans are implemented in compliance with regulatory requirements

Review products and review promotional materials and advertisements

Monitor business processes to ensure proper control of sales risks

2. Regularly conduct compliance self-assessments and compliance manual reviews

3. Assist in convening regular compliance manager meetings and compliance committee meetings

4. Carry out legal compliance risk assessments according to group requirements

5. Evaluate the legality of consulting opinions

6. Assist in the implementation of projects/trial businesses

7. Assist in the preparation of various business-related reports

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organization irrespective of sex, race, age, ethnic origin, educational, socia l 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.