How good are your interfaces in compliance management? With the course MaRisk-Compliance the participants learn the following professional skills:

  • Agile compliance management in practice
  • Manage compliance interfaces for data protection, ISB, GwB, outsourcing officer and internal auditing
  • MaRisk AT 4.4.2: Duties and Duties of the Compliance Officer

Book the course MaRisk Compliance online. Convenient and easy with the course registration form online and product no. A01.

Price for the Course MaRisk Compliance

Price: 690,– £ excl. 19% VAT.

Included in the price:
Participants documents as PDF,  3-course meal, coffee, tea, soft drinks and snacks in the breaks

Book online with the product no. A01. Convenient and easy with the course registration form online.

 

 

MaRisk Compliance

 

Participants’ voices for the course MaRisk Compliance

“Everything good, very pleasant atmosphere, very good organization.” Course in Munich

Target group for the course MaRisk Compliance

  • Board members and managing directors of banks, financial service providers, insurance companies, leasing and factoring companies
  • Compliance officers and employees of Compliance and Legal Departments, Head of Internal Audit, Data Protection Officer,
  • Central office, legal experts, specialists and executives in the area of ​​compliance

 

Your benefits with the Course MaRisk Compliance

  • Practice-oriented implementation of a compliance system – new duties of care and liability risks for the compliance function – Whistle-Blowing-System according to §25 KWG new
  • Compliance interfaces to data protection, central office and internal audit
  • Minimum requirements for an overall ICS with compliance, corporate governance, data protection, internal audit and central office

 

Your advantages with the Course MaRisk-Compliance

Every participant receives the following S&P Tool Box online:

+ Organizational Manual Compliance and Corporate Governance (including EBA requirements, scope: 40 pages)

+ S&P Check: Privacy Policy for Practitioners acc. EU DSGVO

+ Checklist: Monitoring and documentation of control actions

+ Sample report for the reporting of guarantors and agents

+ S&P Tool Legal Inventory: Risk Assessment for Compliance Officers

Agile compliance management in practice

  • Requirements of MaRisk and the European Banking Authority to a compliance system
  • MaRisk-compliant organization and staffing of the compliance function
  • Liability guarantee – BGH judgments on the responsibility of agents
  • “Red flags”: Limitation of personal liability risks for the compliance function
  • Minimum requirement for a whistle blowing system
  • Reporting compliance: monitoring and control plan, samples for audit-proof reporting

Every participant receives the following S&P Tool Box with the course MaRisk Compliance:

+ Organizational Manual Compliance and Corporate Governance (including EBA requirements, scope: approx. 40 pages).

 

Manage compliance interfaces to DSB, ISB, GwB, outsourcing officer and Internal Audit

  • The Three Lines of Defense Model:
    • Interface Compliance and Internal Audit
    • Risk-oriented review, documentation and reporting by the agents
  • IT Compliance: Supervisory Requirements for IT and the ISB
  • Privacy Compliance: Rights and Duties of the Data Protection Officer – Optimizing Interfaces between Compliance, ISB and Data Protection

Every participant receives the following S&P Tool Box:

+ Checklist: Data Protection for Practitioners acc. DSGVO

+ Checklist: Monitoring and documentation of control actions

 

MaRisk AT 4.4.2: Tasks and Duties of the Compliance Officer

  • IKS significance for a proper business organization §25a KWG
  • MaRisk AT 8: What Does the Compliance Officer Have to Pay Attention to Adjustment Processes?
  • Manage compliance-relevant risks with ICS key controls safely:
  • InstitutsVergV: Compliance Officers’ Control and Approval Obligations on the Remuneration Policy
  • Avoidance of legal risks: integrated risk analysis for a legally compliant legal inventory
  • Avoid duplication – clearly assign interfaces and tasks
  • Self Assessment § 25d KWG: Are the Executive and Supervisory Boards compliant?

Every participant receives the following S&P Tool Box with the course MaRisk Compliance:

+ S&P Check: Regularity of the business organization §25 KWG

+ Sample instruction for setting up a test-proof ICS system (approx. 50 pages)

+ S&P Tool Legal Inventory: Risk Assessment for Compliance Officers

+ S&P Check: InstitutsVergV – Compliance Officer’s Control Duties