MaRisk Compliance
For board members and managing directors at banks, financial service providers, FinTechs and employees of compliance and legal departments
735,-€
Programm
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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
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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?
