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?