The Bank Compliance Risk Assessment is a crucial regulatory requirement for financial institutions operating in Indonesia, mandated by both OJK (Financial Services Authority) and Bank Indonesia regulations. This document becomes necessary when banks need to evaluate their compliance risk exposure, typically conducted annually or when significant regulatory changes occur. It includes comprehensive analysis of compliance risks across various banking operations, assessment of control effectiveness, and detailed action plans for risk mitigation. The assessment must align with Indonesian banking regulations, particularly OJK Regulation No. 18/POJK.03/2016 on Risk Management Implementation and Bank Indonesia Regulation No. 13/2/PBI/2011 on Compliance Function Implementation. It serves as both a regulatory compliance tool and a strategic document for managing compliance risks in the Indonesian banking context.
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1. Executive Summary: High-level overview of key findings, major risk areas identified, and critical recommendations
2. Assessment Scope and Methodology: Detailed description of assessment parameters, methodologies used, and assessment timeframe
3. Regulatory Framework Analysis: Overview of applicable regulations, recent regulatory changes, and their impact on the bank
4. Compliance Risk Governance Structure: Analysis of the bank's compliance organization, reporting lines, and governance framework
5. Key Risk Areas Assessment: Detailed assessment of major compliance risk areas including AML/CTF, consumer protection, and prudential requirements
6. Control Environment Evaluation: Assessment of existing compliance controls, their effectiveness, and gaps identified
7. Risk Matrix and Scoring: Comprehensive risk scoring and categorization of identified compliance risks
8. Compliance Monitoring and Testing: Review of compliance monitoring programs and testing procedures
9. Action Plans and Recommendations: Detailed remediation plans, timelines, and responsible parties for addressing identified risks
10. Reporting Framework: Structure for ongoing compliance risk reporting and escalation procedures
1. Digital Banking Compliance Assessment: Specific assessment of digital banking services compliance risks, included when the bank offers significant digital services
2. Shariah Compliance Assessment: Assessment of compliance with Shariah banking principles, included for banks offering Islamic banking services
3. Cross-Border Activities Assessment: Evaluation of compliance risks related to international operations, included for banks with significant international exposure
4. Third-Party Risk Assessment: Analysis of compliance risks related to third-party relationships and vendors, included when significant outsourcing exists
5. New Product Compliance Review: Assessment of compliance risks associated with new products or services, included when significant new offerings are planned
1. Regulatory Requirements Matrix: Detailed matrix of all applicable regulatory requirements and compliance status
2. Risk Assessment Methodology: Detailed documentation of risk assessment criteria, scoring methods, and risk categorization framework
3. Compliance Testing Results: Detailed results of compliance testing performed during the assessment period
4. Historical Compliance Issues Log: Record of past compliance issues, remediation efforts, and current status
5. Training and Awareness Programs: Overview of compliance training programs and effectiveness assessment
6. Regulatory Correspondence Log: Record of significant regulatory communications and responses
7. Action Plan Tracking Sheet: Detailed tracking mechanism for monitoring implementation of recommended actions
Relevant legal definitions
Clauses
Relevant Industries
Banking
Financial Services
Insurance
Investment Management
Financial Technology
Microfinance
Payment Services
Asset Management
Islamic Banking
Credit Services
Relevant Teams
Compliance
Risk Management
Internal Audit
Legal
Operations
Corporate Governance
Regulatory Affairs
AML & KYC
Internal Control
Branch Operations
Relevant Roles
Chief Compliance Officer
Risk Management Director
Compliance Manager
Internal Audit Manager
Regulatory Compliance Specialist
AML Compliance Officer
Legal Counsel
Risk Assessment Officer
Board Director
Chief Executive Officer
Operations Director
Branch Manager
Compliance Analyst
Risk Control Officer
Regulatory Affairs Manager
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