MaRisk Compliance

The “MaRisk Compliance” seminar provides an overview of the tasks and duties of the Compliance Officer. The focus is on the practical implementation of agile compliance management. Participants learn how to develop and implement compliance strategies in their own company. The seminar is aimed at compliance officers and other interested parties from banks and savings banks.

A01 MaRisk Compliance

MaRisk Compliance

For board members and managing directors at banks, financial service providers, FinTechs and employees of compliance and legal departments

805,-€

Plus 19% VAT.
  • With the seminar, you will receive your certificate as proof of your expertise

  • Agile compliance management in practice

  • Secure compliance interfaces manage

  • MaRisk AT 4.4.2: Tasks and duties of the Compliance Officer

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Programm

  • 9.15 am – 1.00 pm

    Agile compliance management in practice


    Requirements of MaRisk as well as the European Banking Supervision for a compliance system:

    • MaRisk-compliant organisation and staffing of the compliance function
    • “Red Flags”: limitation of personal liability risks for the compliance function
    • Minimum requirement for a whistle-blowing system

    Reporting Compliance:

    • Monitoring and control plan
    • Sample for audit-proof reporting


S+P Tool Box

  • Organisational Handbook Compliance and Corporate Governance (incl. EBA requirements, length: approx. 40 pages)
  • Organisation manual: audit-proof ICS system (length approx. 50 pages)
  • S+P Tool Legal Inventory: Risk Assessment for Compliance Officers
  • S+P Check: InstitutsVergV – Control duties of the compliance officer
  • 2.00 pm – 5.00 pm

    Manage compliance interfaces securely


    The Three Lines of Defence model:

    • Interface Compliance and Internal Audit
    • Risk-oriented auditing, documentation and reporting by the officers

    IT compliance: Regulatory requirements for information security


    Data protection compliance:

    • Rights and duties of the data protection officer
    • Interfaces between compliance, IPM and data protection

    MaRisk AT 4.4.2: Tasks and duties of the compliance officer


    Regulatory Monitoring: ICS and Business Organisation §25a KWG


    MaRisk AT 8: What does the compliance officer have to look out for in adjustment processes?


    Manage compliance-relevant risks securely with ICS key controls:

    • InstitutsVergV: Control and approval obligations of the compliance officers remuneration policy
    • Avoidance of legal risks: integrated risk analysis for an audit-proof legal inventory
    • Avoiding duplication of work – clearly assigning interfaces 

    Self Assessment § 25d KWG: Are Executive Board and Supervisory Board Compliant?

Supervisery Board Financial Companys
Supervisery Board Financial Companys