Control Design:
Responsible for general complex or as a core member participating in the control design of moderately complex risks/processes/business units:
Understand control design methods, and be able to design effective policies, business regulations, control rules, control activities, SOD, and key control points (KCP) for generally complex internal control risks, achieving certain control effects.
Understand the methods of risk identification and assessment, and be able to initially identify the internal control risk list in this field.
Compliance Management:
Responsible for general complex or as a core member participating in the compliance management of moderately complex business units:
Understand the concepts and methods of PR, be able to execute generally complex PR projects according to the requirements of business supervisors and process owners, extract high- risk samples for testing, identify issues in control design and execution, and formulate measures for improvement.
Understand the concepts, methods, and tools of CT, have testing capabilities, be able to execute tests, record results, and generate reports according to testing procedures, with test reports being true, objective, and accurate, reflecting the compliance status of the process.
Understand the concepts and certification methods of SOD, be able to execute SOD certification according to the SOD certification plan, identify SOD conflicts, and take measures to eliminate conflicts or formulate compensatory control measures.
Internal Control Defect and Issue Management
Responsible for general complex or as a core member participating in the internal control defect and issue management of moderately complex risks/processes/business units:
Understand the methods and tools of internal control defect and issue management, be able to use the 5why method to analyze the root cause of defects for generally complex issues and risks, formulate effective improvement plans targeting the root cause, clarify improvement goals, measures, responsible persons, and completion time, and track management according to the improvement plan, promoting issues to achieve improvement goals, and closing RT issues in a timely manner.
Internal Control Evaluation and Reporting:
Responsible for general complex or as a core member participating in the internal control evaluation and reporting of moderately complex business units:
Be able to formulate SACA reports based on comprehensive evaluation results and templates, communicate and report to relevant managers, and release SACA reports in a timely manner.
Understand the methods and tools of internal control evaluation and reporting, be able to organize and implement SACA evaluations according to the SACA evaluation plan, comprehensively evaluate the effectiveness of control design, compliance management, and internal control management mechanisms, with evaluation results generally consistent with the business internal control management status.
Internal Control Mechanism Atmosphere Building
Responsible for general complex or as a core member participating in the internal control mechanism and atmosphere building of moderately complex business units:
Be able to promote the establishment of internal control goals and clarify internal control responsibilities.
Be able to promote the appointment of PO/PC, establish CEO/CFO/process owner/business supervisor/
