Senior Compliance Expert (Conflict of Interests)
Profile Senior Compliance Expert Market and Organisational Conduct (Job Scale 12)
Your role and working environment
The Market and Organisational Conduct team is part of Conduct Compliance and Culture (CC&C), a new department within Group Compliance. The Market and Organisational Conduct team is looking for a Senior Compliance Expert. As a Senior Compliance Expert Market and Organisational Conduct your purpose is to help protect ING against market abuse, insider trading, conflict of interest and other related market organisational risks.
The Market and Organisational Conduct team shares a collective responsibility for all the end to end 31 processes as described by SOLAR covering the risk areas of Market Abuse, Conflicts of Interest, Anti Competition Law, Governance and Regulatory Registrations. Additionally, Market and Organisational Conduct provides support in other areas such as Transaction Reporting. In scope of these 31 processes are horizon scan, setting up Policies and standards, monitoring (incl. Policy adherence, Risk Appetite Statements), advisory and regulatory guidance, global risk identification (One Compliance Risk Assessment), escalation and training.
Furthermore the team keeps track/oversight of the global implementation of all requirements by means of issue tracking, monitoring, Dashboards, and risk specific reporting and escalation (regulatory and internal reporting). In this, the team works closely together with Compliance in business and geographical units, Control Rooms and 1LOD representatives.
This is a challenging opportunity for an strong, dynamic, open-minded professional to join the CC&C Market and Organisational Conduct team. The position is based within the ING Group Compliance department in Amsterdam.
The Market and Organisational Conduct team will consist of 10 FTE.
What you’ll do
- You are an expert in the risk area of conflict of interest and/or market abuse: you are on top of changes in regulatory requirements globally and you follow common practices across the industry.
- Having experience on conducting risk assessments, analysing the results of risk assessments, key controls results and translate those into clear risk reports and risk conclusions;
- You are responsible for defining the standards in your risk area: in close collaboration with all relevant stakeholders, you develop policies and other documents that dictate best practices globally.
- Having experience to translate compliance procedures into compliance processes
- You provide recommendations and advise to business and compliance colleagues throughout ING.
- You define and execute the best ways to generate oversight on policy implementation and operating effectiveness based on data from various systems and interactions with business line departments.
- You implement concrete project plans that guide cross-learning and continued improvements across different business units and regions.
- You engage relevant (internal/external) stakeholders in all of your activities.
- You participate in the development of key compliance processes from a ING group perspective.
- You help the review and the monitoring of the adherence to ING Risk Appetite Statement on conflicts of interests, market abuse and organisational conduct
- You design and implement a virtual community to share knowledge and develop standards;
- You also act as top-expert in your area and stay on top of all developments and makes sure that lessons learned are taken forward in the organisation.
Your key competencies
- You are able to draft policy documents/formal reports, dashboard
- You maintain contacts with stakeholders;
- You are an experienced professional with a compliance, legal, non-financial risk background;
- Having project management skills has an advantage;
- You are a good communicator, being able to convey complex messages in simple ways both orally and on paper;
- You are flexible: you can work in more than one regulatory risk area and enjoy a variety of activities ranging from writing, stakeholder interactions, development of processes or data analysis for example;
- You embrace innovation: in systems, ways of working and ways of thinking;
- You work independently, think and act out of the box and take accountability;
- You are a team player, you trust others and can be trusted;
- You enjoy cross-border interactions and alignment;
- Furthermore, you adhere to the ING values and it is evident for you that your behaviour is fully aligned with these values
Your technical skills and track record
- You have an in-depth content knowledge of at least one of the specific risk areas as defined above (including relevant legislation, guidelines, industry body views, market analysis);
- You have an excellent level of English (verbal/written).
- > 5 years of experience in the first or second line of defense working on compliance/non-financial risk management activities such as conducting risk (self) assessments, key control testing; working with risk frameworks, issue management, non-financial risk reporting;
- You have a university degree in at least one of the following areas: business administration, economy, behavioural risk management or (business) law;
- You have experience in developing policy documents based on legislations and stakeholder interactions;
- You enjoy learning, sharing and you have innovative mindset;
- You are team player with strong interpersonal skills, who is able to build effective working relationships and thrive in a diversified and multicultural work environment;
- You are flexible: you adjust approaches and seek different paths in a targeted manner.
- Your written & spoken English is excellent.
Reports to the Team Lead of Market and Organisational Conduct
Er is geen minimale opleiding vereist