ICS 03.100.30 CCS A 00 团体 标准 T/CEEAS 004—2021 企业合规师职业技能评价标准 Evaluation criteria for professional skills of corporate compliance professional 2021 - 11 - 25发布 2021 - 11 - 25实施 中 国 企 业 评 价 协 会 发布 全国团体标准信息平台 T/CEEAS 004 —2021 I 目次 前 言 ................................ ................................ .......... III 引 言 ................................ ................................ ........... IV 1 范围 ................................ ................................ ................ 1 2 规范性引用文件 ................................ ................................ ...... 1 3 术语和定义 ................................ ................................ .......... 1 4 职业技能和知识基本要求 ................................ .............................. 2 5 初级合规师要求 ................................ ................................ ...... 2 合规价值观、定位、架构 ................................ .......................... 2 风险识别、评估 ................................ ................................ .. 2 风险应对 ................................ ................................ ........ 3 培训 ................................ ................................ ............ 3 沟通/咨询 ................................ ................................ ....... 4 举报 ................................ ................................ ............ 4 调查 ................................ ................................ ............ 4 文化建设 ................................ ................................ ........ 4 合规管理的监督改进 ................................ .............................. 5 风险领域的专项合规 ................................ ............................. 6 业务环节的专项合规 ................................ ............................. 7 6 中级合规师要求 ................................ ................................ ...... 8 合规价值观、定位、架构 ................................ .......................... 8 风险识别、评估 ................................ ................................ .. 8 风险应对 ................................ ................................ ........ 8 培训 ................................ ................................ ............ 9 沟通/咨询 ................................ ................................ ....... 9 举报 ................................ ................................ ............ 9 调查 ................................ ................................ ........... 10 文化建设 ................................ ................................ ....... 10 合规管理的监督改进 ................................ ............................. 11 风险领域的专项合规 ................................ ............................ 12 业务环节的专项合规 ................................ ............................ 13 7 高级合规师要求 ................................ ................................ ..... 14 合规价值观、定位、架构 ................................ ......................... 14 风险识别、评估 ................................ ................................ . 14 风险应对 ................................ ................................ ....... 15 培训 ................................ ................................ ........... 15 沟通/咨询 ................................ ................................ ...... 16 举报 ................................ ................................ ........... 16 全国团体标准信息平台 T/CEEAS 004 —2021 II 调查 ................................ ................................ ........... 16 文化建设 ................................ ................................ ....... 17 合规管理的监督改进 ................................ ............................. 18 风险领域的专项合规 ................................ ............................ 19 业务环节的专项合规 ................................ ............................ 21 参考文 献 ................................ ................................ ....... 22 全国团体标准信息平台 T/CEEAS 004 —2021 III 前言 本文件参照 GB/T 1.1 —2020《标准化工