Senior Compliance Officer - Market Abuse

<p>The Customer &amp; Markets (C&amp;M) team is part of the Compliance Conduct &amp; Ethics (CC&amp;E) team within Group Compliance. The C&amp;M team consists of 10 Compliance Officers with various backgrounds. As Senior Compliance Officer you will be involved in managing compliance risks related to the following two risks: (i) risk of ING not appropriately addressing risks related to its markets activities, which pose risks to our customers, the bank and fair and orderly markets (ii) risk of not treating our customers fairly by not having our customer’s best interests in mind. The C&amp;M team is also involved in the handling of Whistleblower related complaints.</p><p></p><p><b>The Team</b></p><p>The C&amp;M team takes a global lead role in conduct related strategy development and risk management in the customer protection area and in relation to market activities undertaken by ING, as a key financial player. In particular, the C&amp;M team deals with risks where ING:</p><ul><li><p>Has obligations as a market participant to have effective arrangements (including trade &amp; order surveillance and communications surveillance) to prevent / detect market abuse, including insider dealing and market manipulation and report any suspicious transactions and orders to authorities;</p></li><li><p>Has obligations to safeguard inside information it possesses;</p></li><li><p>provides Investment Recommendations to its customers;</p></li><li><p>is a contributor to financial benchmarks;</p></li><li><p>does not carry out its reporting and disclosure obligations in a timely and transparent manner;</p></li><li><p>develops a product or service that does not meet the expectations of our customers;</p></li><li><p>distributes a product through an inappropriate channel or network;</p></li><li><p>does not perform a robust suitability analysis taking into account client profile and circumstances;</p></li><li><p>does not provide appropriate access to its services for all customers taking into account their particular needs;</p></li><li><p>does not take into account the particular vulnerability risks presented by different groups of customers for different products or services;</p></li><li><p>does not carry out its duty of care during the lifecycle of a product or service;</p></li><li><p>sets unreasonable post sale barriers for changing, canceling the product/service or defines non-transparent complaint processes;</p></li><li><p>does not timely incorporate changing regulatory requirements reflecting societal or regulatory objectives.</p></li></ul><p></p><p><b>Roles and responsibilities</b></p><p>As a Senior Compliance Officer in the C&amp;M team, together with your team and team lead:</p><ul><li><p>You are involved in C&amp;M related Horizon scanning, Risk identification, Risk Appetite Statement, Risk-specific risk assessments, Training, Issue Tracking, Investigations, Risk-specific reporting, particularly in relation to market conduct;</p></li><li><p>While putting use of data as a priority, you help design dashboards and other monitoring tools, optimise data sources and data quality, identify data improvements and data driven opportunities  for the C&amp;M area; You propose and advise on the ING Compliance Risk Appetite Statement for the C&amp;M area, particularly on Market Conduct;</p></li><li><p>You ensure the update and roll-out of market conduct policies, procedures and a generic control standard, assume an advisory role with constructive, pragmatic and reflective advice, provide for waivers and deviations while continuously reflecting on process improvements;</p></li><li><p>You evaluate policies and business processes that are in scope of the C&amp;M team and identify and drive efficiency and effectiveness gains;</p></li><li><p>You design, build and steer a C&amp;M market conduct global community to share knowledge and implement, from Global to Local, sustainable Policy standards in all business units;</p></li><li><p>You pro-actively manage your C&amp;M stakeholders in all areas and levels of the ING organization, communicate effectively on the team’s activities and seek input and learn from stakeholders to advance the C&amp;M activities;</p></li><li><p>You may be responsible for handling Whistleblower related complaints.</p></li></ul><p></p><p><b>How to succeed</b></p><p>We hire smart people like you for your potential. Our biggest expectation is that you’ll stay curious, keep learning and take on responsibility. In return, we back you to develop into an even more awesome version of yourself.</p><p>As a Senior Compliance Officer you have the following traits and experience:</p><ul><li><p>Approximately 10 years of experience in financial or non-financial risk management activities such as conducting risk (self) assessments, key control testing; working with risk frameworks, issue management, financial or non-financial risk reporting;</p></li><li><p>You have 5+ years of solid experience of customer protection and market regulati