Mifid Private Banking Control Specialist
hace 5 días
Madrid
At ING we are looking for a Business Control Expert We are looking for a talented and enthusiastic MiFID Private Banking Control Specialist to join our Private Banking Operations Team of COO Investment & Protection The responsibility of this team is establishing and executing the first-line control framework supporting Private Banking investment services, and our way of working is data-driven, risk-focused and collaborative, combining regulatory expertise, analytical insight and close partnership with the business to ensure the highest standards of investor protection and regulatory compliance. As a MIFID Control Banking Specialist you will: Execute transaction-level and portfolio-level MiFID controls. Monitor suitability, target market, sustainability preferences and client investment profiles. Review client-initiative transactions and potential circumvention of MiFID controls. Verify the delivery and appropriate archiving of suitability reports, KIDs and supporting evidence. Monitor portfolio alignment with risk profile, investment horizon, objectives and contractual limits. Analyse exceptions, identify root causes and coordinate remediation. Produce auditable evidence and periodic MiFID control reporting. Escalate material or recurring issues through the established governance. Collaborate with Private Banking, Portfolio Management, Operations, Compliance, Legal, NFR and Data teams. Support automation and continuous improvement of the control framework. Want to know if this job is made for you? These are some of the qualities that we value the most for this role. And if the shoe fits… don’t hesitate to apply! Solid understanding of MiFID II, investor protection principles and suitability requirements. Experience in Private Banking, Wealth Management, Investment Services, Risk, Controls, Compliance or related functions. Strong analytical skills with the ability to identify trends, exceptions and root causes from large data sets. Ability to independently challenge, investigate and assess investment-related activities while maintaining a constructive business partnership. Strong attention to detail and commitment to delivering high-quality, auditable work. Excellent communication skills, capable of translating regulatory requirements into practical business actions. Experience working with reporting, data analysis and control monitoring tools (Excel, Power BI, SQL or similar). Ability to manage multiple priorities and work effectively in a dynamic and evolving environment. Fluency in English. Spanish is highly valued. We will be especially interested in candidates who: Have previous experience in MiFID controls, suitability monitoring, investment advisory, discretionary portfolio management or product governance. Hold a recognised MiFID certification (EFPA, CFA, CISI or equivalent). Have contributed to designing or improving control frameworks, governance processes or regulatory reporting. Enjoy combining regulatory expertise, data analysis and stakeholder management to drive better client outcomes. Knowledge of Spanish regulations and proficiency in Spanish will be highly valuable. The time you spend at work, the challenges you face or the lessons you get are very important, but… What about your personal life? At ING we want your work to fulfill you in every way, and that is why we take care of even the smallest details. Check out what is waiting for you! We put balance to work, so you can do it too. With our customers’ needs first, the team´s and your own, we agree when to come to ING MAD and when to work best from home. More time together when it matters, more freedom when you need it. So that thinking about what to have for lunch doesn’t take up your time or your cravings. In our offices you can find electric mobility solutions, doctor, hairdresser, gym, The Good Service (to help you with your errands) and much more! For you and all your family (spouse/partner and children). We help you protect what matters most to you. In addition, you will enjoy our flexible remuneration model, through a more tax-advantaged way, you will be able to access other services such as nursery, transport card, training aids… It doesn’t matter where you live. We have 6 routes (North, Central, South, A5, A42 and A6) to get you to our ING office in Madrid comfortably. Special loans with more beneficial conditions. Special mortgage conditions after 6 months working at the bank. And you can benefit from our pension plan after 1 month with us! 360º care of the employee (physical, mental, social connection & purpose). Physiotherapy service on site. Clinics with professional, world-class athletes. Gympass service. Employee Networks: Rainbow Lions (LGBTQI+), Leonas & RIÑG. International Remote work program. We are a team of more than 1800 people sharing one idea: doing our bit in helping our clients create a better future for themselves , by providing them with the tools they need to get where they want to go. A fully online bank where technology, innovation, simplicity and transparency are the main ingredients, and the first one to work with agile methodologies. And although we are based in Spain, we are lucky to work in an international bank with presence in more than 40 countries. We are proud to have a diverse team, and we are committed to continue developing a culture of Diversity, Inclusion and Belonging to foster a culture of collaboration and innovation that represents all collectives in the society. And even though we look orange on the outside, we are green on the inside. Our ambition in Sustainability is Empowering (y)our Sustainability journey. We are embarking on our path, for us, but we are also there for when our clients decide to embark on this journey. Making things happen, helping others be successful, always being one step ahead—that’s our DNA. If you look at yourself in the mirror and your reflection matches our way of being and working…we are looking forward to meeting you! At ING, you belong just as you are. We hire and support people for their talent and potential — and we know that when you can be yourself, you do your best work. Buscamos una persona talentosa y entusiasta para el puesto de MiFID Private Banking Control Specialist , que se incorpore a nuestro equipo de Operaciones de Banca Privada dentro de COO Investment & Protection. La responsabilidad de este equipo es establecer y ejecutar el marco de control de primera línea que da soporte a los servicios de inversión de Banca Privada. Nuestra forma de trabajar está impulsada por los datos, orientada al riesgo y basada en la colaboración, combinando experiencia regulatoria, capacidad analítica en nuestro.entrega. Como MiFID Control Banking Specialist , te encargarás de: Ejecutar controles MiFID a nivel de transacción y de cartera. Supervisar la idoneidad, el mercado objetivo, las preferencias de sostenibilidad y los perfiles de inversión de la clientela. Revisar las transacciones iniciadas por la clientela y los posibles intentos de eludir los controles MiFID. Verificar la entrega y el archivo adecuado de informes de idoneidad, KIDs y documentación de soporte. Supervisar la alineación de las carteras con el perfil de riesgo, horizonte de inversión, objetivos y límites contractuales. Analizar excepciones, identificar las causas raíz y coordinar acciones correctivas. Generar evidencias auditables e informes periódicos de control MiFID. Escalar incidencias relevantes o recurrentes a través de los mecanismos de gobernanza establecidos. Colaborar con los equipos de Banca Privada, Gestión de Carteras, Operaciones, Compliance, Legal, NFR y Datos. Dar soporte a la automatización y mejora continua del marco de control. Conocimiento sólido de MiFID II, de los principios de protección al inversor y de los requisitos de idoneidad. Experiencia en Banca Privada, Gestión Patrimonial, Servicios de Inversión, Riesgos, Controles, Compliance o funciones relacionadas. Fuertes capacidades analíticas para identificar tendencias, excepciones y causas raíz a partir de grandes volúmenes de datos. Capacidad para cuestionar, investigar y evaluar de forma independiente actividades relacionadas con inversiones, manteniendo al mismo tiempo una relación constructiva con el negocio. Gran atención al detalle y compromiso con la entrega de trabajo de alta calidad y auditable. Excelentes habilidades de comunicación, con capacidad para traducir requisitos regulatorios en acciones prácticas para el negocio. Experiencia trabajando con herramientas de reporting, análisis de datos y monitorización de controles (Excel, Power BI, SQL o similares). Capacidad para gestionar múltiples prioridades y trabajar eficazmente en un entorno dinámico y en evolución. Nivel fluido de inglés. El español será altamente valorado. Prestaremos especial atención a las personas candidatas que: Tengan experiencia previa en controles MiFID, monitorización de idoneidad, asesoramiento de inversiones, gestión discrecional de carteras o gobierno de producto. Posean una certificación MiFID reconocida (EFPA, CFA, CISI o equivalente). Hayan participado en el diseño o mejora de marcos de control, procesos de gobernanza o reporting regulatorio. Disfruten combinando conocimiento regulatorio, análisis de datos y gestión de stakeholders para impulsar mejores resultados para la clientela. Tengan conocimientos de la normativa española y dominio del idioma español. #J-18808-Ljbffr
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