CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
At Prudential, we understand that success comes from the talent and commitment of our people. Together, we have a shared vision in securing the future of our customers and our communities. We strive to build a business that you can shape, an inclusive workplace where everyone's ideas are valued and a culture where we can thrive together. Our people stay connected and tuned in to what's happening around us, keeping us ahead of the curve. While focused on the long-term, we look to the future to bring growth, development and benefit to everyone whose lives we touch.
Conduct investigations on sales force related misconducts, handle requests from regulators relating sales misconduct complaints and perform regular monitoring on sales activities of sales force so as to identify, manage, minimize and mitigate compliance risks, and to ensure compliance with regulations, codes, Group and PCA policies.
1) Investigation of customer complaints / non-customer complaints which are related to sales force:
Responsible to assign the cases to subordinate as appropriate;
Conduct investigation with agent/sales staff; and agent's/sales staff's uplines for explanation and statement;
Interview relevant parties for investigation purpose, where necessary;
Liaise with all relevant parties on any findings;
Provide fact summary including finding and recommendation for management review
Review draft reply letters;
Feedback sales forces' / business lines' concerns on company guidelines and procedures;
Identify irregular complaint trends and provide compliance advice to strengthen internal controls and/or improve operating procedures; and
Review and oversee the cases handled by subordinate.
2) Investigation of sales force cases received from other sources (PCA Confidential Helpline / compliance hotline / report from agency, etc.)
Conduct investigation with agent/sales staff; and agent's/sales staff's uplines for explanation and statement; and
Prepare investigation report for management and PCA.
Liaise with relevant stakeholders in setting up the Disciplinary Policy for sales channel;
Ensure that the disciplinary action on agency is recommended according to the prevailing disciplinary policy; and
Prepare reports to seek management approval on disciplinary actions on sales force.
3) On-going monitoring related to financial crimes:
Design and develop effective MIS for agent fraud detection;
On-going review of agent fraud detection MIS and conduct further investigation where necessary;
Regular reporting on investigation for management review; and
Identify irregular trends and provide compliance advice to strengthen internal controls and/or improve operating procedures.
4) Prepare management reports (e.g. relevant section in Monthly Compliance Report, reporting of significant cases to Compliance Committee, etc.). Liaison with law enforcement body on cases requiring Prudential's assistance in their investigation.
Degree holder in Accounting or Business Administration; Certified Fraud Examiner is an advantage.
Minimum of 5 years' experience in compliance/audit. Work experience in law enforcement body is an advantage.
Fluent in both spoken and written English and Chinese