T/CECCEDA 002-2022 The general professional skills requirements for enterprise compliance professionals

Scope

Scope: This document specifies the general professional and technical skills requirements for corporate compliance officers, and serves as the basis for training, assessment, and evaluation of their professional skills. This document applies to training, assessment, and evaluation activities for the general professional and technical skills of corporate compliance officers. Other types of organizations may also refer to this document for use; Main technical content: 1. Scope 2. Normative reference documents 3. Terms and definitions 4. General provisions 4.1 Occupational characteristics 4.2 Occupational levels 4.3 Basic requirements 5. Requirements for junior corporate compliance officers 5.1 Identification of compliance obligations, assessment of compliance risks, and assistance in planning compliance goals 5.2 Implementation of compliance management systems 5.3 Establishment and operation of compliance management organizational structures 5.4 Establishment and implementation of compliance management implementation mechanisms 5.5 Evaluation and improvement of the effectiveness of compliance management systems 5.6 Construction of compliance culture 6. Requirements for intermediate compliance officers 6.1 Planning and implementation of compliance management 6.2 Identification of compliance obligations and compliance goals, and assessment of compliance risks 6.3 Establishment and implementation of compliance management systems 6.4 Establishment and operation of compliance management organizational structures 6.5 Establishment and implementation of compliance management implementation mechanisms 6.6 Evaluation and improvement of the effectiveness of compliance management systems 6.7 Construction of compliance culture 7. Requirements for senior compliance officers 7.1 Planning and implementation of compliance management 7.2 Identification of compliance obligations and compliance goals, and assessment of compliance ris

Development Information

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