Internal Control Management
Internal Control Management
Internal control management systems ensure continuous monitoring of compliance with bank procedures, policies and regulations, detection of violations and automation of internal control. They form the foundation of reliability, accountability and operational sustainability of a financial institution.
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The Internal Control Management System (ICMS) covers all key areas of banking activities where deviations from internal procedures, standards, regulations or legal requirements are possible. It allows you to centrally manage control activities, evaluate their effectiveness, identify violations, record incidents and monitor their elimination.
Key functions:
- Maintaining a register of control points and procedures for all processes (KCI - Key Control Indicators);
- Planning, conducting and documenting control checks;
- Detecting non-conformities, generating incidents and their escalation routes;
- Monitoring the implementation of corrective actions and violation elimination statuses;
- Integration with compliance, audit, operational risk, document management and HR systems;
- Monitoring compliance with internal instructions, IT regulations, security policies and Central Bank standards;
- Maintaining electronic documentation on incidents and auditing actions controllers.
Who works with the system within the bank:
- Internal control service
- Heads of departments and operational managers
- Compliance and internal audit service
- IT and information security service
- Documentation and regulatory support department
System owners:
- Chief Control Officer (CCO) / Head of VKS
- Chief Risk Officer (CRO) - interface with risk and compliance processes
- CIO/CTO - for technical implementation, control logic and access
What strategic objectives do the proposed solutions solve
Provides systematic control over compliance with internal regulations, processes and standards
Eliminates the risk of chaotic performance of duties and “formal compliance”.
Identifies weaknesses in business processes before an incident or damage occurs
Enables the implementation of preventive measures instead of post-factum response.
Increases the accountability of departments and transparency of the execution of control functions
Management receives an objective picture of the maturity and reliability of all business areas.
Make working with documents simpler and faster
Who are the solutions suitable for?
Results after solution implementation
Improving the efficiency and effectiveness of internal control, reducing the number of recurring violations.
Improve audit and regulatory readiness with complete digital documentation.
Increased manageability, sustainability and compliance of bank processes with internal and external standards.
Processes are optimized, routine operations are automated, and employees have more time for truly valuable tasks.
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FINEEO CS
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