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حسابداری و مالی::
ناظر / مقرراتگذار
The need for a firmwide approach to compliance risk management at larger, more complex banking organizations is well demonstrated in areas such as anti-money laundering, privacy, affiliate transactions, conflicts of interest, and fair lending, where legal and regulatory requirements may apply to multiple business lines or legal entities within the banking organization.
Compliance risk is the risk of legal or regulatory sanctions, financial loss, or damage to reputation resulting from failure to comply with laws, regulations, rules, other regulatory requirements, or codes of conduct and other standards of self-regulatory organizations applicable to the banking organization (applicable rules and standards).
The corporate compliance function, therefore, may or may not have responsibility for monitoring and testing the controls over certain compliance activities embedded within these units, such as those over regulatory reporting and regulatory capital.
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