Senior Specialist for Compliance Quality Control

2 settimane fa

Milano, Lombardia, Italia ING A tempo pieno

Job Overview:

The Compliance Quality Assurance (CQA) Team is dedicated to executing local quality assurance initiatives, which encompass Second Line Monitoring (SLM), Independent Testing activities (including Key Control Testing), QA Thematic Reviews, Continuous Monitoring, and Process Reviews. This role involves conducting second-level controls and performing on-site evaluations within the Financial Advisors network to identify any irregular behaviors and transactions, while also contributing to Business Line or Group QA-driven projects.

The team is responsible for evaluating and ensuring the quality of policy and procedure implementation aimed at mitigating Compliance risks, conducting independent assessments in accordance with the Compliance Monitoring and QA guidelines set forth by the Group Compliance QA Team.

Primary Responsibilities:

As a Senior Expert in Compliance Quality Assurance, your primary responsibilities will include:

  • Conducting quality assurance activities on two distinct fronts: i) independent testing to validate the effectiveness of existing controls, and ii) independent reviews of compliance matters based on a risk-oriented approach through thematic, process, and continuous QA;
  • Serving as a subject matter expert for CQA Team topics, particularly focusing on external regulations such as MiFID II and IDD, while ensuring and recommending solutions to mitigate compliance risks;
  • Possessing extensive experience in a similar role (or within an Audit function), particularly in investment-related audits or monitoring activities;
  • Demonstrating a solid understanding of European investor protection regulations (MiFID II & IDD), especially regarding the MiFID questionnaire process, suitability and appropriateness assessments, placement of UCITS mutual funds (including target funds), Insurance-Based Investment Products (IBIPs), discretionary management services, online trading, best execution, and market abuse monitoring;
  • Assisting in the development of CQA-related training programs for the benefit of both local and global CQA communities;
  • Executing tests/reviews and analyzing results from various Key Control Testing (KCT) and QA initiatives;
  • Supporting risk assessments conducted by the Compliance team in accordance with Head Office guidelines (reporting, training, Compliance Chart, Risk Assessment);
  • Collaborating with Business Line and/or Global Compliance Quality Assurance in executing QA activities as required and in alignment with QA planning;
  • Utilizing the dedicated QA tools for QA activities;
  • Possessing desirable data analytics skills;

Experience and Qualifications:

  • A minimum of 10 years of experience in a Compliance department (or Audit Function) within the Banking/Financial Services sector.
  • A university degree or equivalent qualification.

Technical, Language, and Specialized Skills:

  • Proficient in English (both verbal and written);
  • A proactive, open-minded individual with a problem-solving mindset and comprehensive knowledge of banking processes;
  • Demonstrating firmness when necessary, while also showing flexibility when appropriate;
  • Excellent collaboration skills with the ability to work across various functional areas;
  • Relevant knowledge of risks and associated assessments;
  • An investigative mindset, with a solid understanding of control methodologies;
  • Strong analytical skills and sound judgment.

Employment Type: Permanent

About ING:

Benefits of Joining ING:

In addition to being part of a dynamic team in an innovative environment, we offer:

  • Flexible smart working arrangements;
  • Competitive base salaries along with performance-based bonuses;
  • A diverse culture and innovative mindset;
  • An international work environment;
  • A commitment to sustainability;
  • Numerous training and development opportunities to support your growth;
  • Initiatives focused on physical and mental well-being;
  • A special day off for your birthday, referred to as #doyourbirthday;
  • Complimentary water and coffee at the office.

Our Commitment:

Diversity is a core element of our corporate culture, and we are fully committed to fostering a safe and inclusive environment based on mutual respect and the value of diversity, providing equal job opportunities to all qualified candidates.

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