Compliance Quality Assurance Manager (m/f)

Publiée le 16/12/2020

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ING Luxembourg


Temps de travail
Type de contrat
Niveau d'étude




Compliance Quality Assurance Manager (m/f)



ING
Luxembourg is looking for a full-time Compliance Quality Assurance Manager to
support the current team. 



 


Job description


 


As Compliance Quality Assurance (CQA) Manager, your
purpose is 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, as well as
contributing to Business Line or Group QA-driven initiatives.



 


Your team will monitor and
assess the quality of the implementation of policies and processes aimed at
mitigating Compliance risks, perform independent testing on 1st
and
2
nd line monitoring activities, in line with Compliance Monitoring
and QA guidelines established by the Group Compliance QA team.



 


The outcomes of the QA
activities play a key role in bringing the Compliance function and the 1st line
to the next quality level;



 


The CQA team will consist of 5 team members as part
of 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 so
    to assure the quality of the controls in place, and ii) independent review of
    the compliance processes on a risk based approach through thematic, process and
    continuous QA;

  • You execute tests/reviews and elaborate results from different Key
    Control Testing (KCT) and QA initiatives and provide consolidated reporting to Business
    Line 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 local
    Monitoring Plan which includes KCT SLM Testing and QA activities, the execution
    of the plan and the articulation of areas of improvement and best practices (QA
    activities include: Thematic Review, Continuous Monitoring, and Process Reviews);

  • You are responsible to plan and conduct the Compliance Charter & E2E
    Framework review at local level (e.g., branch implementation of Compliance
    framework pillars), report observations, 
    best practices to branch management (e.g., CEO, HoC) and local
    Compliance MT;

  • You support, manage, strategize and develop the CQA team for your unit
    including all related activities e.g., HR related activities, performance
    management;

  • You are a content matter expert and decision maker responsible for
    taking final decisions on quality assurance matters as well proposed solutions
    being implemented;

  • You provide QA related input for the NFRC, NFRD and other
    committees and reportings

  • You support Business Line and/or Global Compliance Quality Assurance in
    the performance of QA activities where requested and in line with the QA
    planning;

  • The QA activities use a variety of methods and techniques in line with the QA
    guidelines established by the Group Compliance QA team, including an
    increasingly use of data analysis.

  • You implement and use the QA dedicated ING tool in relation to the QA activities.





















 


 


 


 


 


Your work
environment



 


  • The CQA team is composed of
    staff selected for their knowledge and expertise, as well as the skill set
    needed to perform QA reviews and testing;

  • The CQA team has access to
    subject matter experts located in Financial Crime Compliance (FCC) and Organisational
    Conduct Compliance (OCC) teams when required.

  • The CQA team interacts with
    key internal stakeholders at various levels (e.g., Business Lines and Group) to
    establish the global overview on how the QA requirements and controls are
    embedded in the business;

  • The CQA team could also participate
    in dealing with external stakeholders, regulators and supervisory institutions
    when required.









 


Your profile


 


  • You are an
    Orange Code ambassador,
    with a
    talent for taking it on and making it happen, enthusiasm for helping others to
    be successful and the drive for always being a step ahead
    ;

  • You have
    excellent stakeholder management and influencing skills;

  • You are a forward
    looking, strategic thinker;

  • You are an
    energetic, motivating person who can work as part of a multidisciplinary team;

  • 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
    inspire, motivate and help others to succeed;

  • You
    stimulate cross-border interaction and alignment;

  • You give
    and ask constructive feedback.

     
    How to succeed
     
  • You are a
    seasoned 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 and
    processes within Financial Crime Compliance, Organisational and Conduct
    Compliance, and Employees Compliance and Ethics;

  • You have an investigative mindset, with an
    understanding of audit methodologies;

  • You have
    (data) analytical skills and sound judgement;

  • You are a
    natural authority leader and
    have a strong track record
    of leadership;

  • You have a ‘can do’
    mentality and are able to embrace challenges in a fast changing and complex
    environment;

  • You have experience in
    leading and managing teams of high value specialists and proven record in
    developing talents;

  • You have a university
    degree or equivalent;

  • You have
    an excellent level of English (verbal/written);

  • You have excellent
    collaboration skills and ability to work across functional and geographic lines;

  • You are
    firm when needed, and able to show flexibility when possible.

     








 


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