November 2015
Beginner
400 pages
11h 51m
English
Content preview from Essential Strategies for Financial Services Compliance, 2nd Edition
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Appendix DCompliance for Senior Management, the Back Office and Other Support Departments
This appendix provides a brief description of some of the Back Office and support departments that are likely to be found in a typical financial institution. It also describes some of the main regulatory requirements that are of relevance to them and summarizes the controls they are responsible for that have an impact on Compliance. Similar guidance is given in relation to senior management and the board of directors.
| Department | |
| Senior management and the board of directors | 266 |
| Personnel/Human Resources (HR) | 269 |
| Marketing | 272 |
| Finance | 274 |
| Company Secretariat | 275 |
| Internal Audit | 277 |
| IT | 279 |
| Legal | 282 |
| Operational Risk | 284 |
| Back Office (Operations) | 285 |
| Tax | 288 |
| Department | Senior management and the board of directors |
| Typical activities | Senior management are responsible for the corporate governance of the firms in their charge. ‘Corporate governance’ is an expansive concept but it can be summed up as: the direction and management of corporate affairs in order to maximize shareholder (or other relevant stakeholder) value. In most firms is likely to involve the following types of activity:
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