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3. Legal and Compliance
QF Level ( 1234567 )
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3. Legal and Compliance
QF Level
Code
Name
QF Level:
Level 1
No Item
QF Level:
Level 2
No Item
QF Level:
Level 3
Code:
106670L3
Name:
Comply with the bank's compliance standard during job execution
QF Level:
Level 4
Code:
106668L4
Name:
Oversee compliance monitory system to identify incidents of non-compliance
QF Level:
Level 4
Code:
106673L4
Name:
Provide response to legal and regulatory consultation exercises launched by regulatory or other relevant bodies
QF Level:
Level 4
Code:
106674L4
Name:
Report suspicious cases or non-compliance to regulatory bodies and/or law enforcement agencies
QF Level:
Level 4
Code:
106675L4
Name:
Handle request from regulatory bodies and law enforcement agencies
QF Level:
Level 5
Code:
106659L5
Name:
Develop internal standards for different operations to align with laws and regulations (e.g. KYC, AML, FATCA)
QF Level:
Level 5
Code:
106660L5
Name:
Develop compliance programme to accommodate legal and regulatory requirements (e.g. KYC, AML, FATCA)
QF Level:
Level 5
Code:
106661L5
Name:
Build effective relationship with regulatory or other relevant bodies
QF Level:
Level 5
Code:
106663L5
Name:
Develop guidelines in relation to cross brooder marketing
QF Level:
Level 5
Code:
106665L5
Name:
Manage incidents of non-compliance and mitigate the impacts
QF Level:
Level 5
Code:
106672L5
Name:
Coordinate with regulators to conduct regulatory examinations
QF Level:
Level 5
Code:
106678L5
Name:
Advice on investigate suspicious and illegal activities
QF Level:
Level 5
Code:
106679L5
Name:
Communicate information on new or revised legal / statutory requirements
QF Level:
Level 6
Code:
106656L6
Name:
Conduct research on regulatory development and implications on bank
QF Level:
Level 6
Code:
106664L6
Name:
Establish procedures to monitor compliance fulfillment
QF Level:
Level 6
Code:
106676L6
Name:
Advising on formulating policies on handling suspicious / illegal activities
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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