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.
This role supports Agency Governance matters relating to agent conduct, disciplinary cases, and regulatory compliance. You will work closely with the Legal Department, Compliance teams, and other internal stakeholders to ensure agencyrelated matters are handled in accordance with company policies, regulatory requirements, and statutory guidelines.
The role involves drafting formal correspondence, coordinating disciplinary and legal matters, maintaining governance records, supporting regulatory reporting, and assisting with compliance training initiatives for the agency force.
Key Responsibilities
Draft, issue, and follow up on disciplinary letters and responses relating to agency disciplinary matters, agent misconduct, breaches of company guidelines, and agencyrelated legal cases
Liaise with the Legal Department and relevant internal stakeholders on the drafting, issuance, and execution of disciplinary correspondence, and ensure timely updates and accurate maintenance of disciplinary records in internal systems
Act as the primary coordination point between the Agency and the Legal Department for matters involving legal proceedings or lawsuits relating to agency operations, including maintaining a legal case register and providing updates to Management when required
Provide legal and administrative support for agencyrelated legal cases, including preparation of documents, providing clarifications, and attending court proceedings as a witness when required
Draft and issue agency communications on regulatory and compliance requirements, including proper sales practices, welcome call requirements, crossborder remote sales requirements, social media guidelines, media engagement guidelines, and other regulatory directives, to ensure agents adherence
Communicate governance breaches and compliance violations to agents, including breaches of media engagement guidelines, regulatory requirements, governance policies, and proper sales practices
Assist in the preparation of Agency Circulars, Instructions, and compliance communication materials in line with Group standards, regulatory guidelines, and data protection requirements
Support and facilitate agency governance and compliance training for sales teams and agents, including training on sales quality standards, media engagement guidelines, and social media guidelines
Maintain governance and breach registers relating to social media and media engagement cases, and provide updates to Management as required
Coordinate and liaise with internal departments on agencyrelated risk, governance, and compliance matters, including timely reporting and updating of incidents in internal governance systems
Assist in halfyearly and annual regulatory compliance selfassessments for review, signoff, and reporting to the Compliance function
Support monthly reporting of agencyrelated legal expenses, including submission of committed spending reports and management of procurement and expense submissions for legal fees incurred by the agency
Job Requirements
Degree in Business Administration, Insurance, Risk Management, Compliance, or a related discipline
Minimum of two years of relevant working experience in financial institutions or similarly regulated environments
Prior exposure to insurance operations, agency governance, compliance, or legal support work will be an added advantage
Able to work independently, wellorganized, and reliable in following up and completing tasks
Strong proficiency in English with good written, verbal, and interpersonal communication skills
Selfmotivated with a positive and professional attitude
Meticulous, detailoriented, and able to perform well under pressure
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.
