The Risk Assessment Questionnaire For Banks is a critical regulatory compliance and risk management tool designed for banking institutions operating within New Zealand's financial system. This questionnaire is typically used during annual risk assessments, regulatory reviews, and internal audit processes to evaluate a bank's risk profile across multiple dimensions. It aligns with the Reserve Bank of New Zealand's prudential supervision framework and incorporates requirements from various financial regulations and standards. The document helps banks identify, assess, and document their risk exposure while demonstrating compliance with regulatory requirements. It should be updated regularly to reflect changes in the regulatory landscape and emerging risks in the banking sector.
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1. Bank Information: Basic details of the bank including legal name, registration number, address, and key contact persons
2. Governance Structure: Information about the bank's board structure, management team, and reporting lines
3. Risk Management Framework: Overview of the bank's risk management policies, procedures, and overall approach
4. Credit Risk Assessment: Evaluation of the bank's credit risk policies, lending practices, and credit portfolio management
5. Market Risk Profile: Assessment of exposure to market risks including interest rate, currency, and investment risks
6. Operational Risk Evaluation: Analysis of operational risks including IT systems, processes, and human resources
7. Liquidity Risk Management: Assessment of liquidity management practices and funding strategies
8. AML/CFT Compliance: Evaluation of anti-money laundering and counter-terrorism financing controls
9. Regulatory Compliance: Assessment of compliance with banking regulations and reporting requirements
10. Business Continuity: Review of business continuity and disaster recovery planning
1. Trading Book Risk: For banks engaged in significant trading activities, assessment of trading risk management
2. International Operations: For banks with overseas operations, evaluation of cross-border risks and controls
3. Islamic Banking Services: For banks offering Islamic banking products, assessment of Shariah compliance and specific risks
4. Digital Banking Operations: For banks with significant digital banking services, evaluation of digital risks and controls
5. Wealth Management Services: For banks offering wealth management, assessment of related risks and controls
6. Agricultural Lending: For banks with significant agricultural portfolios, specific assessment of agricultural lending risks
1. Risk Rating Matrix: Detailed matrix for scoring different risk categories and overall risk profile
2. Required Documentation Checklist: List of supporting documents required for risk assessment verification
3. Regulatory Reporting Calendar: Schedule of regulatory reporting requirements and deadlines
4. Risk Appetite Statement Template: Template for documenting the bank's risk appetite and tolerances
5. Control Assessment Framework: Framework for evaluating the effectiveness of risk controls
6. Action Plan Template: Template for documenting required actions, responsibilities, and timelines for risk mitigation
Authors
Relevant legal definitions
Clauses
Relevant Industries
Banking
Financial Services
Risk Management
Regulatory Compliance
Financial Technology
Investment Banking
Retail Banking
Corporate Banking
Treasury Services
Relevant Teams
Risk Management
Compliance
Internal Audit
Legal
Operations
Treasury
Credit
Finance
Corporate Governance
Information Technology
Strategy
Relevant Roles
Chief Risk Officer
Compliance Manager
Risk Assessment Specialist
Internal Auditor
Banking Operations Manager
Chief Financial Officer
Regulatory Compliance Officer
AML/CFT Compliance Officer
Credit Risk Manager
Operational Risk Manager
Chief Executive Officer
Board Member
Risk Committee Chair
Treasury Manager
Legal Counsel
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