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Compliance Quality Assurance Senior Expert

Impiegato | Compliance / Legal / Tax | Lombardia | 2024-02-19 | 069412


Job Description:

Compliance Quality Assurance (CQA) Team has the purpose to run local quality assurance activities that include Second Line Monitoring (SLM), Independent Testing activities (incl. Key Control Testing), QA Thematic Reviews, QA Continuous Monitoring and Process Reviews and conducting second level controls and performing on-site inspections in reference to the Financial Advisors network to monitor and in order to identify any anomalous behavior and transactions, as well as contributing to Business Line or Group QA-driven initiatives. 

The team monitors and assesses the quality of the implementation of policies and procedures aimed at mitigating Compliance risks, perform independent testing in line with Compliance Monitoring and QA guidelines established by the Group Compliance QA Team.

Key Responsibilities:

As Compliance Quality Assurance Senior Expert within the Compliance Quality Assurance Team your key responsibilities will include:

  • perform quality assurance activities on two different fronts: i) independent testing to assure the quality of the controls in place, and ii) independent review of compliance topics on a risk-based approach through thematic, process and continuous QA;
  • be a content matter expert on for CQA Team topics focusing on external regulations, in particular MiFID II and IDD by assuring and proposing solutions to be implemented for mitigating compliance risks;
  • be experienced in the role (or in Audit function), with a focus in investment-related audit or monitoring activities;
  • have a good knowledge of European investor protections regulations (MiFID II & IDD), in particular on MiFID questionnaire process, suitability and appropriateness assessment, placement of UCITS mutual funds (including target funds), Insurance Based Investment Products - IBIPs, discretionary management services, trading on-line, best execution, market abuse monitoring;
  • support the development of CQA related training program, for the benefit of local and global CQA community;
  • execute tests/reviews and elaborate results from different Key Control Testing (KCT) and QA initiatives;
  • support for risk assessment performed by Compliance team following the Head Office guideline (e.g. reporting, training, Compliance Chart, Risk Assessment, etc.);
  • support Business Line and/or Global Compliance Quality Assurance in the performance of QA activities where requested and in line with the QA planning;
  • use the QA dedicated ING tool in relation to the QA activities;
  • Data analytics skills desirable;

Experience and qualifications:

  • You have experience of 10+ years in Compliance department (or Audit Function) within the Banking/Financial Services Industry.
  • You have a university degree or equivalent.

Technical, language and other specialized skills:

  • You have an excellent level of English (verbal/written);
  • You are proactive, Open-minded with problem solving attitude and in-depth knowledge of the banking processes;
  • You are firm when needed, and able to show flexibility when possible;
  • You have excellent collaboration skills and ability to work across functional lines;
  • You have relevant knowledge of risks and related assessment;
  • You have an investigative mindset, with an understanding of control methodologies;
  • You have (data) analytical skills and sound judgement.


Duration: Permanent

     Location: Milan (hybrid) 

     About ING

  ING offers many opportunities to build a diverse and rewarding career. You will be joining an international innovative digital bank, the first in Italy to adopt a fully flexible smart working model, and you will be working in a stimulating environment where you can grow both as an individual and as a professional.Our purpose - empowering people to stay a step ahead in life and in business - represents our belief in people’s potential. We don’t judge, coach or to tell people how to live their lives. We empower people and businesses to realize their own vision for a better future.#doyourthing is our brand direction with us each and every day. It is how we articulate our purpose and our promise to make banking frictionless to the world. ‘do your thing’ is about people being free to live the life they want to live, knowing that they will make their world a little better for it.Do you think you are "a step ahead"? Apply now! 

    The benefits of joining ING

I   In addition to being a part of a great team, working in a fun and innovative environment, we offer:

  • Super flexible smart working
  • Competitive base salaries and performance based bonuses
  • Diverse cultures & Innovative mindsets
  •  International Environment
  •  Commitment to sustainability
  • Lots of training development opportunities to help you grow
  • Lots of moments dedicated to physical and mental well-being
  • A special day off when it is your birthday: we call it #doyourbirthday!
  • And of course we can’t forget: free water & coffee at the office!

Our Commitment

Diversity is a fundamental element of our corporate culture, and we are fully committed to creating a safe and inclusive environment, based on mutual respect and the value of diversity, offering equal job opportunities to all qualified candidates.


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Please be aware that the recruitment procedures, (labour) regulations and labour agreements of Italia apply.

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