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A01 MaRisk Compliance

MaRisk Compliance

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


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


  • 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