MaRisk Compliance
Board members and managing directors at banks and financial service providers, compliance officers and deputies
732,-€
Programm
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Interface to outsourcing AT 9 MaRisk
Optimal interaction with the central outsourcing officer design:
- New service provider management AT 9.7 with risk analysis and new outsourcing report
- Compliance officer as central outsourcing officer?
Pre-outsourcing analysis according to MaRisk AT 9 and EBA guidelines:
- Minimum requirements for the due diligence of a prospective service provider:
- When is it mandatory to classify an outsourcing as critical / material?
What does the compliance officer have to pay attention to in the adaptation processes AT 8 MaRisk?
AT 8.1 MaRisk: Securely integrate annual New Product Check
Interface Compliance Officer to ISB and DPO
Regulatory requirements for IT governance:
- Is the outsourcing data protection compliant?
- Establish audit-proof interfaces between outsourcing officer, ISB and DPO.
AT 7: Audit focus on IT compliance:
- IT strategy, IT environment and IT organisation in focus of the new MaRisk
- Secure handling of self-developed IT applications, access rights, IT approvals and changes in the IT system
S+P Tool Box
- S+P Sample: Job description and control plan for the Compliance Officer
- S+P Test: Monitoring and prevention measures to compliance requirements
- + S+P Check: System check for the IT system
MaRisk Compliance
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Duties as Compliance Officer: Monitoring + Control
Acute need for action for the compliance function from EBA and SREP requirements
Fulfil due diligence obligations as a Compliance Officer safely – limiting risks from the guarantor position in a targeted manner
Avoiding legal risks:
- Risk analysis for an audit-proof legal inventory
- Supervisory law: requirements for a legal inventory
- Carrying out the qualitatively more stringent risk analysis on the basis of uniform scoring criteria
Control Plan Compliance:
- Overview of monitoring and control activities
- Audit-proof review of compliance requirements
-
Duties as Compliance Officer: Monitoring + Control
Acute need for action for the compliance function from EBA and SREP requirements
Fulfil due diligence obligations as a Compliance Officer safely – limiting risks from the guarantor position in a targeted manner
Avoiding legal risks:
- Risk analysis for an audit-proof legal inventory
- Supervisory law: requirements for a legal inventory
- Carrying out the qualitatively more stringent risk analysis on the basis of uniform scoring criteria
Control Plan Compliance:
- Overview of monitoring and control activities
- Audit-proof review of compliance requirements
