(Senior) Regulatory Compliance Officer
il y a 1 jour
ING Luxembourg is looking for a full-time (Senior) Regulatory Compliance officer to support the Conduct Compliance & Ethics (CC&E) team in the domains of Unfair Customer Treatment (MiFID, SFDR, IDD, customers’ protection, etc.) and Regulatory Registration (cross border compliance).
Job description
The Conduct Compliance & Ethics (CC&E) team is in charge of identifying, assessing, advising, overseeing and reporting on risks arising in the areas of Unfair Customer Treatment (MiFID, SFDR, IDD, customers’ protection, etc.), Conflicts of Interest, Market Conduct (inc. Market Abuse), Competition law, Regulatory Registration (incl. cross border rules), Compliance Governance and Data Protection.
On the ethical side, its purpose is also to help ING manage risks arising from our norms, attitudes and behaviors related to risk culture and to manage the internal ING Whistleblowing channels.
The CC&E team shares a collective responsibility for all the existing end-to-end compliance risk management processes to identify, assess, report and escalate the compliance risks mentioned above. You will share this responsibility for the risk areas assigned to you. At the same time, you will contribute to the shape of global policies and be responsible for drafting and ensuring implementation of local guidelines and standards, where additional local regulatory requirements exist.
You will monitor and maintain the oversight of the local implementation of all regulatory and/or policy-driven requirements by means of horizon scanning, gap analysis, risk assessments, risk dashboards, issues monitoring and via the contribution to periodic reporting processes - either to the regulator or to internal stakeholders locally (e.g. governance committees) and globally (e.g. Global Compliance).
Key responsibilities
- You are accountable of monitoring and supporting the sounding, roll-out and correct/timely implementation of group policies, regulatory projects and the execution of risk assessments;
- You are accountable for advisory activities (client/segment/deal related and in relation to underlying processes), horizon scanning, issues monitoring, training & awareness and internal/external reporting on CC&E related risks;
- You support the first line of defense in the execution of activities aimed at mitigating the compliance risks under your remit;
- You collaborate with global stakeholders and oversee the activity of the bank’s subsidiaries;
- You identify, execute, monitor and report on local risk-culture initiatives.
Your work environment
- The CC&E team oversees different business segments (Retail & Private Banking, Business Banking, Wholesale Banking and Financial Markets), consists of 6 members and is part of the Compliance Department in the second line of defense.
- The CC&E team is working with key/senior internal stakeholders and offers an environment which provides a global overview on how the relevant CC&E requirements and controls are embedded within the organization.
- The CC&E team has ongoing interactions with its correspondent team located in Belgium and oversees the bank’s subsidiaries in Luxembourg. The team also participates to the Global CC&E Community.
Your profile
- You have an experienced profile with at least 3-5 years in the domain of investors/customers protection (MiFID, SFDR, IDD, private banking products, etc.) gained in compliance / audit / legal departments of banking institutions or consulting firms. Experience in cross-border compliance within the banking sector would be an asset;
- You have a university degree (preferably in Law, Economics or Finance) or equivalent;
- You have an excellent level of English (verbal and written). Knowledge of French would be an asset;
- You are able to embrace challenges in a fast changing and complex environment;
- You have excellent stakeholder management and influencing skills;
- You have good presentation skills and are able to adapt your written and verbal communication to different audiences (including Senior Management);
- You have analytical skills and sound judgement. You are firm when needed and able to show flexibility when possible;
- You have excellent collaboration skills and ability to work across functional and geographic lines and as part of a multidisciplinary team;
- You are a team player, you trust others and can be trusted. You are also able to work independently and take accountability;
- You are recognized for your integrity and moral judgment. You set the example with regards to the ING values by having a behavior fully aligned to these values.
We offer you
A clear purpose and a range of flexible compensation and other benefits:
- A fascinating job in the core of compliance advisory and risk management activities;
- Personal growth and challenging work with opportunities to realise your ambitions;
- An informal, dynamic environment with innovative colleagues supporting your endeavours;
- Exposure to key internal and external stakeholders
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