Senior Compliance Officer FOM

  • Competitive
  • Le Helder, Hollande-Septentrionale, Pays-Bas
  • CDI, Plein-temps
  • ING
  • 17 janv. 18 2018-01-17

Senior Compliance Officer FOM

Job description
The role of the Senior Compliance Officer FOM is to ensure high quality and consistency in the execution of bank-wide compliance practices by conducting independent Tier 2 monitoring reviews.
The following responsibilities and accountabilities are key to the position:

  • Draft annual FOM plan and related workplans and execute monitoring reviews accordingly;
  • Issue recommendations to Senior Management if deficiencies or areas for improvement are identified;
  • In conjunction with the relevant Compliance "Account Manager", provide "aftercare" to reviewed entities to ensure follow up actions are promptly taken and sufficient support on recommendations issued is available;
  • Enhance monitoring methodologies as continuous process and share best practices, based on FOM reviews, within the Compliance community
  • Ensure continuous FOM process improvement, e.g. feed input from Corporate Compliance Risk Management (CCRM) experts, reviewed entities, lessons learned, into the FOM process and work plans;
  • Review CAS reports to indentify key compliance issues and/or trends and report to the CCRM MT;
  • Conduct qualitative reviews on compliance issues closed in i-Risk to ensure true and effective remedation before closure;
  • Provide hands-on assistance to local ING entities when required or requested;
  • Promote the use of i-Risk to facilitate/support compliance risk management activities;
Your work environment
FOM is a team within Corporate Compliance Risk Management organisation mandated by the CCRM Management Team to execute independent qualitative compliance monitoring reviews world-wide. The team aims to ensure high quality and consistency in the execution of Compliance practises throughout ING Bank. The team is a Tier 2, 2nd Line of Defence function, consisting of experienced Compliance Officers, and has been operational since June 2014. The team conducts various reviews per year, along with providing ad-hoc and on-site compliance support to ING entities world-wide. FOM has a wide range of relationships within ING, including CCRM MT, CCRM expertise teams, Regional Compliance at Tier 1, local Compliance at entity level, local Senior Management, Legal and CAS.