Compliance Quality Assurance Specialist V | GJA 18

Team Description

The CQA team is responsible for assessing the quality and effectiveness of the compliance risk control environment covering both first- and second-line activities, in line with the QA guidelines established by the Group Compliance QA.

Specific Function

This role executes Thematic and Process reviews, supports monitoring and tracking progress against annual monitoring plans, assesses the design and effectiveness of the Compliance risk management cycle process, coordinates planning, training, and reporting for the Compliance Assurance function, and performs oversight over ongoing assurance on key topics and Key Control Testing (KCT).

Scope of activities: NL Retail & WB

Job Description

You are part of the Compliance Quality Assurance team and you contribute to the Compliance Assurance and Monitoring activities for ING NL. As a specialist in the team, you support the execution of Compliance Assurance activities and provide expert knowledge and guidance to other team members and to local teams. The primary purpose of this role is to execute Thematic and Process reviews and support the Head of CQA by tracking progress against annual monitoring plan.

Specific Tasks and Responsibilities include:

• Contribute to the planning and execution of the annual Compliance Quality Assurance Plan.

• Contribute to the development of a strategy for risk-based monitoring

• Support the execution of the Compliance Quality Assurance Plan in accordance with Global Compliance Assurance methodologies.

• Coordinate and report on the outcome of Compliance Assurance framework and process reviews, challenging compliance risk management as needed

• Ensure Compliance Assurance observations are recorded and followed up in iRisk.

• Liaise with stakeholders from Business Retail NL and WB, Risk Verticals, and CAS regarding the Compliance Quality Assurance Plan.

• Support analysis of lessons learned and knowledge sharing among Compliance Assurance teams.

• Contribute to the development and improvement of ING’s Compliance Assurance procedures and methodologies.

• Assist in reporting Compliance Assurance activities to governance forums and stakeholders.

Specific Knowledge and Experience

• Relevant university degree or equivalent.

• More than 7 years of relevant experience in compliance monitoring and/or internal audit methodologies.

• Knowledge of Compliance risk verticals (e.g., Financial Crime Compliance, Conduct Compliance & Ethics, Data Protection), internal policies, laws, regulations, and codes of practice.

• Knowledge of relevant business/products (Wholesale Banking/Retail).

• Experience working across a range of regulatory topics at corporate or operating unit level.

• Prior experience in a Compliance Assurance role.

• Knowledge of Compliance Assurance tooling such as TeamMate. - Learning agility and innovative mindset.

• Excellent English (verbal/written) and communication skills.

• Excellent stakeholder management and influencing skills. - Well-organized, methodical, and attentive to detail.

• Team player, gives and asks constructive feedback, stimulates cross-border interaction.

• Works independently, thinks and acts out of the box, and takes accountability.

• Applies latest guidance with respect to Compliance Assurance methodology, maintaining a risk-based approach.

• Problem-solving skills, energetic, open to learning, analytical, sound judgment, Orange Code ambassador, motivated, enthusiastic, and helps others to succeed.

Reporting Line and Classification

Compliance Quality Assurance Specialist V (GJA 18) reports hierarchically to the Head of CQA NL. This position is classified as: GJA 18 | Job Title: Compliance Specialist V | Job Family Group: Compliance