Compliance Quality Assurance Senior Expert

3 settimane fa

Milano, Lombardia, Italia Ing Bank N.V. A tempo pieno

Job Summary:

The Compliance Quality Assurance (CQA) Team is responsible for running local quality assurance activities that include Second Line Monitoring (SLM), Independent Testing activities (including Key Control Testing), QA Thematic Reviews, QA Continuous Monitoring, and Process Reviews.

The team conducts second-level controls and performs on-site inspections in reference to the Financial Advisors network to monitor and identify any anomalous behavior and transactions, contributing to Business Line or Group QA-driven initiatives.

The team monitors and assesses the quality of the implementation of policies and procedures aimed at mitigating Compliance risks and performs independent testing in line with Compliance Monitoring and QA guidelines established by the Group Compliance QA Team.

Key Responsibilities:

  • Perform quality assurance activities on two different fronts: i) independent testing to assure the quality of the controls in place, and ii) independent review of compliance topics on a risk-based approach through thematic, process, and continuous QA.
  • Be a content matter expert on CQA Team topics focusing on external regulations, in particular MiFID II and IDD, by assuring and proposing solutions to mitigate compliance risks.
  • Have experience in the role (or in Audit function), with a focus on investment-related audit or monitoring activities.
  • Possess a good knowledge of European investor protections regulations (MiFID II & IDD), particularly on the MiFID questionnaire process, suitability and appropriateness assessment, placement of UCITS mutual funds, Insurance Based Investment Products (IBIPs), discretionary management services, trading online, best execution, and market abuse monitoring.
  • Support the development of CQA-related training programs for the benefit of the local and global CQA community.
  • Execute tests/reviews and elaborate results from different Key Control Testing (KCT) and QA initiatives.
  • Support risk assessment performed by the Compliance team following the Head Office guidelines (e.g., reporting, training, Compliance Chart, Risk Assessment, etc.).
  • Support Business Line and/or Global Compliance Quality Assurance in the performance of QA activities where requested and in line with the QA planning.
  • Use the QA dedicated ING tool in relation to the QA activities.
  • Data analytics skills are desirable.

Experience and Qualifications:

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

Technical, Language, and Other Specialized Skills:

  • Excellent level of English (verbal/written).
  • Proactive, open-minded with a problem-solving attitude and in-depth knowledge of banking processes.
  • Firm when needed, and able to show flexibility when possible.
  • Excellent collaboration skills and ability to work across functional lines.
  • Relevant knowledge of risks and related assessment.
  • Investigative mindset with an understanding of control methodologies.
  • (Data) analytical skills and sound judgement.

About ING:

ING offers many opportunities to build a diverse and rewarding career.

You will be joining an international innovative digital bank, the first in Italy to adopt a fully flexible smart working model, and you will be working in a stimulating environment where you can grow both as an individual and as a professional.

Our purpose - empowering people to stay a step ahead in life and in business - represents our belief in people's potential.

The Benefits of Joining ING:

  • Super flexible smart working.
  • Competitive base salaries and performance-based bonuses.
  • Diverse cultures & innovative mindsets.
  • International environment.
  • Commitment to sustainability.
  • Training development opportunities to help you grow.
  • Moments dedicated to physical and mental well-being.
  • A special day off on your birthday: we call it #doyourbirthday.
  • Free water & coffee at the office.

Our Commitment:

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

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