Senior Officer, Agency Compliance

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 Descriptions:

1. Monitoring and Follow-up Activities 

• Perform timely follow-up on assigned monitoring activities and compliance reviews. 

• Issue correspondence and notifications to relevant parties regarding monitoring findings and required actions. 

• Liaise with agents, agency secretaries, agency leaders, and internal stakeholders through emails, phone calls, and other communication channels to ensure timely completion of monitoring requirements. 

• Track and monitor outstanding items and escalate issues where appropriate. 

2. Compliance Monitoring and Review 

• Conduct monitoring and review activities in accordance with established SOPs and regulatory requirements. 

• Support compliance monitoring controls, including but not limited to:  

• Compliance Post Sales Call (PSC) follow-up with Agency 

• Sales Force Information Dashboard (SFID) 

• Recruitment Advertisement Monitoring 

• Mainland Sales Verification Monitoring (MSV) 

• Premium Financing Monitoring 

• Cancel from Inception Monitoring 

• One Signature Monitoring 

• Ensure monitoring results, supporting documentation, and follow-up actions are properly maintained and recorded. 

• Follow up on identified issues and coordinate with relevant stakeholders to facilitate remediation actions. 

3. Project and Ad Hoc Support 

• Assist the QA Manager in the implementation of ad hoc projects. 

• Perform data validation and analysis to ensure the accuracy and completeness of management information. 

• Prepare regular monitoring reports, trend analyses, and management commentary where required. 

• Support User Acceptance Testing (UAT) activities for compliance-related systems and dashboards, including the Continuous QA Dashboard. 

• Participate in review exercises such as Assess Right Review. 

• Provide administrative and operational support for new monitoring programs, process enhancements, and regulatory change projects.  

 4. Continuous Improvement 

• Identify opportunities to enhance monitoring effectiveness, operational efficiency, and reporting quality. 

• Assist in developing and updating procedures, work instructions, and training materials. 

• Contribute to the continuous improvement of compliance monitoring frameworks and governance processes. 

Job Requirements:

• University degree or diploma in Business Administration, Compliance, Risk Management, Finance, Insurance, or related disciplines. 

• Minimum 2 years of relevant experience in compliance, quality assurance, operations, agency administration, or insurance-related functions.

• Experience in monitoring, reporting, data analysis, or compliance reviews within the insurance industry is preferred. 

• Good understanding of insurance business operations and agency compliance requirements. 

• Strong analytical and problem-solving skills. 

• Good communication and stakeholder management skills. 

• Ability to work independently and manage multiple tasks within tight deadlines. 

• Proficiency in Microsoft Office applications, particularly Excel and PowerPoint. 

• Strong attention to detail and commitment to accuracy.

• Good command of both written and spoken English and Chinese. 

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.