法令遵循人員 (Compliance AO)

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.

職位目的在於協助公司營運符合法令規範及集團要求並有效控管遵法風險，需就法規遵循相關事務與各部門法令遵循主管及法令遵循窗口密切互動、溝通與聯繫。

主要職責：

• 負責法令變動管理相關事務/商品審閱/文宣廣告檢視/業務流程監控。
• 負責每半年法令遵循自行評估作業以及法令遵循手冊檢視更新。
• 協助確保商品開發、商品銷售、客戶申訴各階段符合集團客戶行為風險及法令要求之公平待客原則。
• 其他主管交辦專案。

職務內容：

1. 負責辦理法令變動管理相關業務及商品相關業務審視

• 優化法令變動管理流程，使相關法規變動皆能妥適辨識並且及時因應執行
• 即時更新法令變動管理相關資料庫及法遵手冊
• 就法規變動與相關單位進行溝通，確認評估並確認因應方案依法規要求執行
• 商品審閱及文宣廣告檢視
• 業務流程監控以確保銷售風險妥適控管

2. 定期辦理法遵自評及法遵手冊檢視作業

3. 協助定期召開法遵主管會議及法令遵循委員會會議

4. 依據集團要求執行法令遵循風險評估作業

5. 諮詢意見之適法性評估

6. 協助專案/試辦業務之執行

7. 協助撰擬各類業務相關報告

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.