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Abstract(s)
Este relatório foi realizado no âmbito do Trabalho Final de Mestrado, inserido no Mestrado em Gestão da Faculdade de Economia e Gestão da Universidade Católica Portuguesa, na sequência de um estágio realizado na BNP Paribas Factor – Instituição Financeira de Crédito S.A. O propósito é abordar as características, processos e temáticas inerentes às funções de Compliance e Controlo Interno em instituições financeiras, à luz da literatura relevante e, assim, promover o enquadramento destas funções na Instituição.
O estudo visa igualmente analisar as vantagens e custos associados à existência de funções de Compliance e Controlo Interno e aferir, através de um questionário, a perceção dos colaboradores da BNP Paribas Factor S.A. face à organização, eficácia e desempenho destas funções na Instituição. A análise dos resultados do questionário é acompanhada da formulação de recomendações.
This project intends to describe the characteristics, processes and themes associated to Compliance and Internal Control functions, based on related literature in addition to the experience gained during an internship at BNP Paribas Factor – Instituição Financeira de Crédito S.A. It was completed within the Masters in Management of the Catholic University of Portugal – Porto. Ultimately, the study aims to analyse the costs and benefits of Compliance and Internal Control functions in financial institutions, to comprehend the framework of these functions in BNP Paribas Factor S.A. and to understand, by means of a survey, the perception of the employees of BNP Paribas Factor S.A., concerning the organization, effectiveness and performance of the Compliance and Internal Control functions in the Institution. The results are complemented with recommendations.
This project intends to describe the characteristics, processes and themes associated to Compliance and Internal Control functions, based on related literature in addition to the experience gained during an internship at BNP Paribas Factor – Instituição Financeira de Crédito S.A. It was completed within the Masters in Management of the Catholic University of Portugal – Porto. Ultimately, the study aims to analyse the costs and benefits of Compliance and Internal Control functions in financial institutions, to comprehend the framework of these functions in BNP Paribas Factor S.A. and to understand, by means of a survey, the perception of the employees of BNP Paribas Factor S.A., concerning the organization, effectiveness and performance of the Compliance and Internal Control functions in the Institution. The results are complemented with recommendations.
Description
Keywords
Risco operacional Compliance Controlo interno Auditoria interna Corporate Governance Política de gestão de risco Instituições de crédito Risco de crédito Factoring Know your customer Branqueamento de capitais e financiamento de terrorismo Operational risk Internal control Internal audit Risk management policy Credit institutions Credit risk Money laundering and financing of terrorism