Compliance Officer (Analyst)

Location: London

Compliance Officer (Analyst) – Compliance Conduct & Ethics

The team

This role is within the UK Compliance department’s Compliance Conduct and Ethics (CC&E) team reporting to the UK Lead for CC&E. The team provides challenge and advice to UK business and support areas on conduct related topics.

Roles and responsibilities

As a member of the UK CC&E team, you will provide challenge and advice to ING London Branch in identifying, assessing, monitoring and reporting compliance and conduct risks, helping the organisation conduct its business in accordance with applicable laws, regulations, internal policies and ethical standards. Key tasks will include:

Personal Conduct and Regulatory Administration

Support relevant Compliance processes for Senior Manager approvals, the certification of Certified Persons and associated FCA Directory submissions.

Maintain complete and accurate records in Comply and ensure relevant information held on FCA systems is current.

Support Senior Managers and Certified Persons in understanding and meeting relevant conduct and regulatory requirements.

Coordinate required internal learning and external examinations.

Administer Personal Account Dealing processes, including analysis and follow-up of PAD code assignments and participation in relevant service calls on behalf of the UK.

Support US 15a-6 registrations and Dodd-Frank approved persons processes.

Maintain the Attributed Function population and coordinate required Attributed Functions and Above the Wall training.

Support interactions with the European Control Room.

Support Key Control Testing, Compliance Quality Assurance and Corporate Audit Services requests, ensuring that complete, timely and accurate evidence is provided.

Market Abuse and Conduct Surveillance

Coordinate responses to communications and trade surveillance escalations.

Assist with the maintenance of relevant surveillance populations, including monthly updates for joiners, movers and leavers.

Contribute to monitoring and control activities designed to identify and mitigate compliance and conduct risks.

Regulatory Horizon Scanning and Management Information

Coordinate effective regulatory horizon scanning and ensure significant developments are identified, assessed and escalated promptly and appropriately.

Monitor and communicate relevant UK regulatory developments affecting the Branch.

Prepare, validate and report clear management information on relevant compliance and conduct risks, regulatory developments and control activities.

Support the implementation of regulatory and policy changes affecting Compliance Conduct & Ethics processes.

Governance, Controls and Collaboration

Contribute to the effective implementation of relevant policies, procedures, standards and local guidance.

Support wider Compliance Conduct & Ethics activities, projects and ad hoc priorities as required.

Identify, assess and escalate compliance risks, incidents and control weaknesses to the Head of Compliance Conduct & Ethics and relevant governance forums.

Contribute to continuous improvement of Compliance Conduct & Ethics processes, systems, governance and controls, including opportunities to improve use of data analytics and AI.

How to succeed

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’ll back you to develop into an even more awesome version of yourself. The following skills and knowledge would be relevant to the role:

Essential

• Knowledge of UK financial services regulation, conduct requirements and compliance frameworks.
• Experience supporting compliance, conduct risk, regulatory administration or control processes within a Wholesale Banking environment.
• Strong analytical skills, with the ability to interpret data and prepare clear management information using relevant tooling (e.g. PowerBI).
• Ability to practically apply AI tools to resolve complex queries and information requests.
• Strong written and verbal communication skills and the ability to work effectively with stakeholders across the business and control functions.
• High attention to detail, sound judgement and the ability to manage multiple priorities in a fast-paced environment.

Desirable

• Understanding of the Senior Managers and Certification Regime, personal conduct requirements and associated record keeping requirements.
• Knowledge of Personal Account Dealing, market abuse controls, trade and communications surveillance.
• Rewards and benefits
• We want to make sure that it’s possible for you to strike the right balance between your career and your private life https://careers.ing.com/en/UKHome

The benefits of working with us at ING include

• Comprehensive health cover, including private medical, dental, vision, health screening and in-person GP appointments
• Generous pension scheme and financial protection, including life assurance, income protection, access to pension guidance and will writing services, and an interest-free season ticket loan
• Hybrid working and flexibility to work remotely for up to 30 days abroad
• Generous annual leave, with the option to purchase additional days and time off for key life events
• Wellbeing and family support, including an Employee Assistance Programme, back-up child and elder care, enhanced family leave policies and support coaching for new parents
• Lifestyle benefits such as electric vehicle and cycle to work schemes, an on-site gym and access to on-site staff restaurant and barista coffee facilities
• Opportunities for personal and professional growth through mentoring, learning, short-term assignments and international career development
• Opportunities to build strong connections through volunteering, employee forums and social clubs

About us

Curious about how ING empowers people and businesses to move forward? Discover what we do and what we can offer you.Questions?

Contact the recruiter attached to the advertisement. Want to apply directly? Please upload your CV and motivation letter by clicking the ‘Apply’ button.