Compliance and Operational Risk is a core part of AIIB culture and is the responsibility of all Bank Personnel.

The mission of the Compliance and Operational Risk function is to protect the integrity and reputation of the Bank, and to strengthen the Bank’s accountability and transparency. Compliance and Operational Risk assists in the identification, assessment, management, and monitoring of compliance and operational risks arising from the Bank’s activities or from the occurrence of external events.

Role of the Compliance and Operational Risk

The Compliance and Operational Risk team supports a culture based on the Bank’s values and professional conduct. It is responsible for efficient management and oversight of the Bank’s exposure to compliance and operational risk and provides advice to the Chief Risk Officer and Senior Management on how the Bank can effectively manage such risks.

Compliance and Operational Risk Activities

To carry out its mandate, the Compliance and Operational Risk team is responsible for the management of compliance risks, including compliance with Anti-Money Laundering, Countering the Financing of Terrorism, Sanctions and Export Control, and Tax Transparency requirements.

The Compliance and Operational Risk team also has oversight over operational risk activities across the Bank. The Bank’s operational risk framework provides a structured approach to managing operational risk and seeks to apply consistent standards and techniques for evaluating risks across the Bank.


Compliance and Operational Risk is a second line of defense function within the Risk Management Department. The Head of Compliance and Operational Risk, under the oversight of the Chief Risk Officer, is responsible for this function and has access to the Risk Committee and Audit and Risk Committee.


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