Compliance Quality Assurance Senior Expert Bardi

Compliance Quality Assurance Senior Expert
Bardi
Emilia Romagna, Bardi

The Compliance Quality Assurance (CQA) Team is responsible for conducting local quality assurance activities, including Second Line Monitoring (SLM), Independent Testing activities (including Key Control Testing), QA Thematic Reviews, QA Continuous Monitoring, and Process Reviews.

The team conducts second level controls and performs on-site inspections related to the Financial Advisors network and Sales Network to monitor and identify any anomalous behavior and transactions, contributing to Business Line or Group QA-driven initiatives. Key Responsibilities: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 CQA Team topics, focusing on external regulations, particularly MiFID II and IDD, by proposing solutions to mitigate compliance risks. Have experience in the role or in Audit function, with a focus on investment-related audit or monitoring activities. Possess a good knowledge of European investor protections regulations (MiFID II IDD), especially regarding the MiFID questionnaire process, suitability and appropriateness assessment, placement of UCITS mutual funds, Insurance Based Investment Products (IBIPs), discretionary management services, trading online, best execution, and market abuse monitoring. Support the development of CQA-related training programs for the benefit of the local and global CQA community. Execute tests/reviews and analyze results from various Key Control Testing (KCT) and QA initiatives. Assist in risk assessments performed by the Compliance team following Head Office guidelines (e. g. , reporting, training, Compliance Chart, Risk Assessment, etc.

). Support Business Line and/or Global Compliance Quality Assurance in QA activities as requested and in line with QA planning. Utilize the QA dedicated ING tool in relation to QA activities. Data analytics skills are desirable. Experience and Qualifications:You have 5+ years of experience in the Compliance department and/or Audit Function within the Banking/Financial Services Industry.

You hold a university degree or equivalent. Technical, Language, and Other Specialized Skills:Excellent level of English (verbal/written). Proactive, open-minded with a problem-solving attitude, and in-depth knowledge of banking processes. Firm when needed, yet flexible when possible. Excellent collaboration skills and ability to work across functional lines. Relevant knowledge of risks and related assessments. Investigative mindset with an understanding of control methodologies.

(Data) analytical skills and sound judgment. Duration: PermanentLocation: Milan (hybrid)About ING:ING offers many opportunities to build a diverse and rewarding career.

You will join an international innovative digital bank, the first in Italy to adopt a fully flexible smart working model, working in a stimulating environment where you can grow both personally and professionally.

Our purpose - empowering people to stay a step ahead in life and business - reflects our belief in people's potential.

We empower individuals and businesses to realize their vision for a better future. The Benefits of Joining ING:Super flexible smart working. Competitive base salaries and performance-based bonuses. Diverse cultures Innovative mindsets. International Environment. Commitment to sustainability. Numerous training development opportunities to help you grow. Dedicated moments for physical and mental well-being. A special day off for your birthday, called #doyourbirthday!Free water coffee at the office. Our Commitment:Diversity is a fundamental element of our corporate culture, and we are 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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