Compliance Quality Assurance Manager (m / f)
INGLuxembourg is looking for a full-time Compliance Quality Assurance Manager tosupport the current team.
As Compliance Quality Assurance (CQA) Manager, yourpurpose is to run local quality assurance activities that include Second LineMonitoring (SLM) Independent Testing activities (incl.
Key Control Testing), QAThematic Reviews, QA Continuous Monitoring and Process Reviews, as well ascontributing to Business Line or Group QA-driven initiatives.
Your team will monitor andassess the quality of the implementation of policies and processes aimed atmitigating Compliance risks, perform independent testing on 1st and2nd line monitoring activities, in line with Compliance Monitoringand QA guidelines established by the Group Compliance QA team.
The outcomes of the QAactivities play a key role in bringing the Compliance function and the 1st lineto the next quality level;
The CQA team will consist of 5 team members as partof the Compliance Department.
You will hierarchically report into the local Head of Compliance. What you'll do As CQA Manager
You perform quality assurance processes on two different fronts : i)independent testing of the 1st and 2nd line monitoring soto assure the quality of the controls in place, and ii) independent review ofthe compliance processes on a risk based approach through thematic, process andcontinuous QA;
You execute tests / reviews and elaborate results from different KeyControl Testing (KCT) and QA initiatives and provide consolidated reporting to BusinessLine Compliance and Group Compliance, as required and in line with Compliance Monitoring and QA methodology, processes and formats;
You are responsible to perform a priority assessment and to provide a localMonitoring Plan which includes KCT SLM Testing and QA activities, the executionof the plan and the articulation of areas of improvement and best practices (QAactivities include : Thematic Review, Continuous Monitoring, and Process Reviews);
You are responsible to plan and conduct the Compliance Charter & E2EFramework review at local level (e.g., branch implementation of Complianceframework pillars), report observations, best practices to branch management (e.
g., CEO, HoC) and localCompliance MT;
You support, manage, strategize and develop the CQA team for your unitincluding all related activities e.g., HR related activities, performancemanagement;
You are a content matter expert and decision maker responsible fortaking final decisions on quality assurance matters as well proposed solutionsbeing implemented;
You provide QA related input for the NFRC, NFRD and othercommittees and reportings
You support Business Line and / or Global Compliance Quality Assurance inthe performance of QA activities where requested and in line with the QAplanning;
The QA activities use a variety of methods and techniques in line with the QAguidelines established by the Group Compliance QA team, including anincreasingly use of data analysis.
You implement and use the QA dedicated ING tool in relation to the QA activities.
The CQA team is composed ofstaff selected for their knowledge and expertise, as well as the skill setneeded to perform QA reviews and testing;
The CQA team has access tosubject matter experts located in Financial Crime Compliance (FCC) and OrganisationalConduct Compliance (OCC) teams when required.
The CQA team interacts withkey internal stakeholders at various levels (e.g., Business Lines and Group) toestablish the global overview on how the QA requirements and controls areembedded in the business;
The CQA team could also participatein dealing with external stakeholders, regulators and supervisory institutionswhen required.
You are anOrange Code ambassador, with atalent for taking it on and making it happen, enthusiasm for helping others tobe successful and the drive for always being a step ahead;
You haveexcellent stakeholder management and influencing skills;
You are a forwardlooking, strategic thinker;
You are anenergetic, motivating person who can work as part of a multidisciplinary team;
You workindependently, think and act out of the box and take accountability;
You are ateam player; you trust others and can be trusted;
Youinspire, motivate and help others to succeed;
Youstimulate cross-border interaction and alignment;
You giveand ask constructive feedback.
How to succeed
You are aseasoned experienced manager with 8-10+ years in a risk or control area (e.g., compliance, audit, risk function);
You have relevant knowledge of the risks andprocesses within Financial Crime Compliance, Organisational and ConductCompliance, and Employees Compliance and Ethics;
You have an investigative mindset, with anunderstanding of audit methodologies;
You have(data) analytical skills and sound judgement;
You are anatural authority leader and have a strong track recordof leadership;
You have a can do’mentality and are able to embrace challenges in a fast changing and complexenvironment;
You have experience inleading and managing teams of high value specialists and proven record indeveloping talents;
You have a universitydegree or equivalent;
You havean excellent level of English (verbal / written);
You have excellentcollaboration skills and ability to work across functional and geographic lines;
You arefirm when needed, and able to show flexibility when possible.