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8. Internal Control and Compliance
QF Level ( 1234567 )
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8. Internal Control and Compliance
QF Level
Code
Name
QF Level:
Level 1
No Item
QF Level:
Level 2
No Item
QF Level:
Level 3
Code:
109329L3
Name:
Comply with the bank’s compliance standard during job execution
QF Level:
Level 3
Code:
109356L3
Name:
Report suspected financial crimes to relevant parties in the bank
QF Level:
Level 4
Code:
109327L4
Name:
Provide response to consultation of regulatory or other relevant bodies
QF Level:
Level 4
Code:
109335L4
Name:
Monitor subordinates’ behaviours to comply with regulatory requirements
QF Level:
Level 4
Code:
109350L4
Name:
Handle request from law enforcement agencies related to anti-money laundering / counter-financing of terrorism / sanctions
QF Level:
Level 4
Code:
109351L4
Name:
Report suspicious cases on money laundering / terrorist financing / sanctions
QF Level:
Level 4
Code:
109355L4
Name:
Cooperate with regulatory bodies in addressing enquiries relating to financial crime
QF Level:
Level 5
Code:
109319L5
Name:
Develop internal policies, guidelines and standards for different operations to comply with regulatory requirements
QF Level:
Level 5
Code:
109320L5
Name:
Develop compliance programmes to accommodate legal and regulatory requirements
QF Level:
Level 5
Code:
109323L5
Name:
Build and manage effective relationship with regulatory or other relevant bodies
QF Level:
Level 5
Code:
109324L5
Name:
Liaise with regulators and handle regulatory examinations
QF Level:
Level 5
Code:
109325L5
Name:
Conduct investigation on suspicious / illegal activities and incidents of breaches
QF Level:
Level 5
Code:
109333L5
Name:
Manage and monitor the internal control procedures to identify incidents of non-compliance
QF Level:
Level 5
Code:
109334L5
Name:
Manage incidents of non-compliance and mitigate the impacts
QF Level:
Level 5
Code:
109344L5
Name:
Provide legal support for investigation of suspicious and illegal activities
QF Level:
Level 5
Code:
109345L5
Name:
Provide information, advice on new or revised legal and statutory requirements
QF Level:
Level 5
Code:
109348L5
Name:
Assess and monitor controls to manage risks on anti-money laundering / counter-financing of terrorism activities / sanctions
QF Level:
Level 5
Code:
109349L5
Name:
Provide training and support to staff to ensure compliance of anti-money laundering / counter financing of terrorism regulations / sanctions
QF Level:
Level 5
Code:
109353L5
Name:
Conduct investigation on cases related to internal and external fraud
QF Level:
Level 6
Code:
109317L6
Name:
Conduct research on regulatory development and implications on bank
QF Level:
Level 6
Code:
109318L6
Name:
Formulate overall compliance strategies, procedures and ethical standards for the bank
QF Level:
Level 6
Code:
109331L6
Name:
Establish internal control procedures and measures to track compliance fulfilment
QF Level:
Level 6
Code:
109342L6
Name:
Formulate legal framework and policies on handling suspicious / illegal activities of the bank
QF Level:
Level 6
Code:
109347L6
Name:
Develop anti-money laundering, counter-financing of terrorism and sanctions related framework, programme and policies of the bank
QF Level:
Level 6
Code:
109352L6
Name:
Develop policies in combating internal and external fraud
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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