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4. Compliance and Risk Management
QF Level ( 1234567 )
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4. Compliance and Risk Management
QF Level
Code
Name
QF Level:
Level 1
No Item
QF Level:
Level 2
No Item
QF Level:
Level 3
Code:
107398L3
Name:
Comply regulatory requirements and internal procedures during job execution
QF Level:
Level 4
Code:
107395L4
Name:
Monitor subordinates' behaviors to ensure staff professionalism (examples added)
QF Level:
Level 4
Code:
107396L4
Name:
Handle requests from law enforcement agencies related to money laundering activities
QF Level:
Level 5
Code:
107388L5
Name:
Conduct compliance monitoring procedures and handle breaching of laws
QF Level:
Level 5
Code:
107391L5
Name:
Liaise with regulators and handle regulatory examinations
QF Level:
Level 5
Code:
107392L5
Name:
Develop internal policies and guidelines to fulfil registration and licensing requirement
QF Level:
Level 5
Code:
107394L5
Name:
Provide support to staff to comply with the anti-money laundering policies
QF Level:
Level 5
Code:
107402L5
Name:
Provide advice on new or revised legal / statutory requirements
QF Level:
Level 5
Code:
107411L5
Name:
Analyse business impact due to different kinds of disasters
QF Level:
Level 5
Code:
107414L5
Name:
Conduct regular drill and stress tests on the business continuity plan
QF Level:
Level 6
Code:
107385L6
Name:
Formulate compliance policies, internal standards and enforcement system
QF Level:
Level 6
Code:
107386L6
Name:
Establish and maintain monitoring procedures and measures to track compliance fulfilment
QF Level:
Level 6
Code:
107400L6
Name:
Formulate policies on handling suspicious and illegal activities
QF Level:
Level 6
Code:
107403L6
Name:
Establish overall risk management policies and governance structure
QF Level:
Level 7
No Item
Note:
- The SCSs have been moderated by the Hong Kong Council for Accreditation of Academic and Vocational Qualifications (HKCAAVQ) to ensure consistency of QF level across industries.
- The contents of all SCSs will be updated regularly.
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