Senior Compliance Specialist Conduct Compliance & Culture

<p>As a Senior Compliance Specialist your purpose is to assist ING with the identification, assessment, mitigation and reporting of compliance related risks which can result in reputational damage, legal or regulatory sanctions, or financial loss, due to a failure (or perceived failure) to comply with applicable laws, regulations and standards. Within ING, compliance risks are defined as those risks that are within the scope of the “ING Compliance Risk Catalogue”.</p><p></p><p>The following 4 risk categories apply: Financial Crime Risk refers to the risks of the bank’s products and services being abused for illicit purpose generating or disguising Financial and/or Economic Crimes (FEC). Conduct Risk refers to the compliance risks arising from potential or perceived misconduct by ING or its employees towards its customers, market integrity, business partners and other stakeholders. Organisational Risk refers to the compliance risks arising from actual, potential or perceived flaws in the way that ING is organised and structured including its regulatory and reporting framework. Data protection refers to personal data protection risk, due to not protecting the personal data rights of individuals as required, as well as to data retention risk, on having the records being destroyed too soon or retained too long. </p><p>You will be responsible for the risk categories <u>‘2’, ‘3’ and ‘4</u>, with a liaison role for category 1.</p><p></p><p>This is a challenging opportunity for a strong, pro-active, dynamic and open-minded professional to join the CC&amp;C WB NL team. As a Senior Compliance Specialist you will focus on Conduct &amp; Organisational risk within a WB NL.</p><p></p><p>The Team</p><p></p><p>The Conduct Compliance and Culture (CC&amp;C) team is a department within the CCO domain. Furthermore the team plays an essential part of the compliance processes covering, amongst others; horizon scanning, risk assessment, policies framework, analysis, advisory &amp; challenge, escalation, training, issue tracking, risk specific reporting and stakeholder coordination. In this, the team works closely together with 1LOD representatives.</p><p></p><p>Roles and responsibilities</p><p></p><p>As a Senior Compliance Specialist</p><ul><li>You are the right hand of the Head CC&amp;C WBNL and take responsibility from a 2nd line perspective for managing the WBNL compliance risks with a focus on the whole spectrum of WB NL including FM;</li><li>Based on national and international relevant legislations and trends/developments you take a lead role in horizon scanning initiatives;</li><li>You take the lead in risk assessments that fall within the scope of Conduct and Organisational risk;</li><li>You will act as a liaison between the Conduct Compliance team and the Financial Crime team for combined deliverables. You will take the lead in second line activity for the combined SIRA- OCRA.</li><li>You take the lead from 2nd line of defense angle in gap analysis and implementation of compliance related policies. In this respect you are able to independently check and challenge the 1LOD;</li><li>You challenge, advise and if required escalate on the compliance related risks within WB;</li><li>You take the lead in compliance related training sessions (new joiners and refresher training) with the 1LOD;</li><li>You timely provide risk specific reporting (such as NFRD, Cockpit, CRU, reportings into NFRC/RMP etc) and related analysis for 1LOD &amp; 2LOD;</li><li>You engage and challenge relevant (senior management) stakeholders in all of your activities.</li></ul><p></p><p>How to succeed</p><p>We hire smart people like you for your potential. Our biggest expectation is that you’ll stay curious. Keep learning. Take on responsibility. In return, we back you to develop into an even more awesome version of yourself.</p><p></p><p>As a Senior Compliance Specialist you have the following traits and experience:</p><ul><li>You are an experienced Compliance professional with minimum 15 years relevant working experience in Wholesale Banking Compliance. A background in Data Protection or a Compliance Professional certificate is appreciated.</li><li>You are an experienced Financial Crime expert (ACAM’s certified or equivalent) with proven seniority and ability to lead on SIRA, OCRA and act as liaison between CC&amp;C and FCC.</li><li>You can demonstrate an excellent understanding of the Compliance frameworks and Risk Management cycle.</li><li>You have experience with implementation and challenge on new compliance policies and procedures.</li><li>You have a strong level of English (verbal/written);</li><li>You maintain regular contacts with stakeholders including senior management;</li><li>You work independently, think and act out of the box and take ownership and accountability;</li><li>You are an excellent communicator, being able to convey complex messages in simple ways both orally and on paper, which help deliver and empower our (senior) stakeholde