Compliance Quality Assurance Officer Wholesale Banking NL

Organisatie
ING
Locatie
Amsterdam
Opleidingsniveau
WO
Arbeidsvoorwaarden
Marktconform
Vakgebieden

Your role and working environment

We are looking for a Compliance Quality Assurance Officer to join our Compliance Quality Assurance (CQA) team. The CQA team is part of the 2nd LoD Wholesale Banking Compliance NL department.

The purpose of the CQA team is to support Wholesale Banking NL in strengthening the control environment through objectively identifying and challenging compliance risks. The CQA team is dedicated to assess the quality of the compliance risk management processes and policies implemented throughout Wholesale Banking NL as well as Group Treasury NL.

The CQA team performs compliance quality assurance assessments that include Thematic Reviews, Continuous Monitoring and Process Reviews, as well as contributing to Business Segment or Group QA-driven initiatives. The results of these assessments provide insight to (senior) management in areas for improvement.

This is a unique opportunity for experienced professionals to join the CQA team and work in a very interesting and challenging environment. The position is based within the Wholesale Banking Compliance NL department in Amsterdam. The CQA team will consist of 5 FTE and hierarchically reports to the Head of Compliance WB NL.

Your key responsibilities

As a Compliance Quality Assurance Officer you will;

  • Perform independent CQA activities on a risk based approach through different methods: Thematic Reviews, Continuous Monitoring Process Reviews, as required in line with OneCompliance Monitoring methodology processes and formats;

  • Prepare planned CQA reviews to provide guidance on what needs to be assessed in order to define the detailed scope, the needed level of testing and the monitoring work program;

  • Execute fieldwork to assess appropriateness compliance processes, procedures, controls and systems and adherence to the internal and regulatory requirements;

  • Report review results to relevant stakeholders, advise and support (senior) management on mitigating measures on identified weaknesses;

  • Perform priority assessments and provide priorities for the Monitoring Plan to focus on;

  • Cooperate with WB NL Compliance teams Financial Crime Compliance (FCC) and Conduct Compliance & Culture, WB Compliance Business Segment QA and 1st LoD to ensure compliance risks are adequate managed;

  • Stay connected with business developments to provide input for periodically update of the Monitoring Plan to set the right priorities.

How to succeed

We hire smart people like you for your potential. Our biggest expectation is that you’ll stay curious. Keep learning. Take on responsibility. In return, we’ll back you to develop into an even more awesome version of yourself.

Your key competencies:

  • You are an experienced professional in the QA Wholesale Banking setting dealing with CC&C and FCC topics;

  • You have a good understanding of CC&C and FCC topics;

  • You are familiar with use of Data Analytics within the quality assurance/audit function;

  • You have excellent reporting and presenting skills to present identified issues in a concise and clear way;

  • You are able to deal with the business with confidence and with the strength of character and tenacity to raise and follow up concerns;

  • You are able to build and maintain relationships with key stakeholders;

  • displays seniority and persuasiveness. Skill to act as sparring partner at 1st line management level;

  • You are a team player, you trust others and can be trusted, and able to build effective working relationships;

  • You are able to work independently on various assigned QA tasks and to lead QA reviews;

  • You are able to see things from various different perspectives; we expect you are an independent thinker with a critical mindset;

  • You inspire, motivate and help others to be successful.

Your technical skills and track record

  • You have an in-depth knowledge and at least 5 years of relevant professional experience in working with compliance quality assurance/monitoring/auditing methodologies for Wholesale Banking products and businesses;

  • University degree with a strong risk management related focus (such as law, economics, business administration etc.), or has extensive working experience that proves equivalence therewith (e.g. in compliance, audit, regulator);

  • Demonstrable experience of undertaking risk assessments and creating monitoring/audit review plans;

  • You have an investigative mindset and the ability to take the lead and ownership over QA reviews across all WB NL businesses;

  • Relevant knowledge of the risks and processes within Financial Crime Compliance (FCC) and Conduct Compliance & Culture (CC&C);

  • You have a ‘can do’ mentality and are able to embrace challenges in a fast changing and complex environment;

  • You have (data) analytical skills and sound judgement;

  • Excellent collaboration skills and ability to work across functional and geographic

  • Fluent in English (written and verbally)

Rewards & benefits

We want to make sure that it’s possible for you to strike the right balance between your career and your private life. You can find out more about our employment conditions here .

The benefits of working with us at ING include:

  • A salary tailored to your qualities and experience
  • 24-27 vacation days depending on contract
  • Pension scheme
  • 13th month salary
  • Individual Savings Contribution (BIS), 3.5% of your gross annual salary
  • 8% Holiday payment
  • Personal growth and challenging work with endless possibilities
  • An informalworking environment with innovative colleagues
  • Work Agile, so new ideas come to life faster

Want to apply directly?

Please upload your CV and motivation letter by clicking the “Apply” button.

About us

With 57,000 employees and operations in approximately 40 countries, there is no shortage of opportunities for people with initiative who want to help people take a step ahead in life and in business. Do you want to work at the cutting edge of what’s possible and at the same time ensure you work with integrity and hold the customer’s interests at heart? Do you want to be surrounded by progressive, inspiring, diverse and supportive colleagues? Then there is no better place to invest your talents than at ING. Join us and apply today!

Vacature informatie

Organisatie: ING

Locatie: Amsterdam

Opleidingsniveau: WO

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