法律從業人員在職訓練探討─以銀行相關產業為例

本論文涉及銀行產業法律從業人員在職訓練議題，亦即為涵蓋金融實務、法律專業與人力資源管理等三方面跨領域研究。現今銀行產業新興業務的發展方興未艾，而且銀行因未落實法令遵循或有觸法情事而被裁罰之案例亦層出不窮，因此，銀行業者對於法律從業人員如何發展合適的在職訓練將逐漸受重視。本論文首先介紹銀行相關產業及法律從業人員的職務與環境現況，釐清法律從業人員的職務內容與組織型態，並瞭解相關職務所涉及的法定教育訓練規範。其次，對於在職訓練的類型與方式加以說明，作為後續探討法律從業人員在職訓練之基礎。又為瞭解我國實務中的在職訓練現況，本論文對於銀行機構法律從業人員進行深入訪談，受訪人員包含本國及外國機構之主管及職員，並於分析彙整訪談結果後提出結論。本論文研究建議包含主管機關調整法定訓練課程規範並整合教育訓練資源、外部機構提供符合職能需求的在職訓練並充分揭露課程內容、外部機構加強非同步線上課程、銀行機構精進在職訓練與現行業務、法律從業人員培養專業能力等。期望能替銀行相關產業法律從業人員在職訓練之未來發展與研究，樹立良好奠基。

關鍵字

在職訓練；銀行；企業法務；法務；法令遵循；洗錢防制；律師；人力資源管理

並列摘要

This thesis involves three research areas including banking practice, the legal profession, and human resource management. Nowadays, due to the development of emerging banking businesses and the concern of banks failing to implement laws and regulations, how to develop appropriate on-the-job training for banking industry legal practitioners is an important issue. This thesis first introduces the current environment of the banking industry legal practitioners, describes job contents and position in the bank, and explains relevant training regulations. Second, it introduces the contents of on-the-job training. Third, it conducts serval interviews with legal practitioners in different companies to further understand the current practice of on-the-job training of banking industry legal practitioners. After summarizing and analyzing interview results, it concludes this research. This thesis provides practical suggestions, including the authority has to adjust the mandatory training regulation and integrate training resources; external institutions provide proper on-the-job training and make course contents available to the public; external institutions have to strengthen online courses; companies need to improve on-the-job training as well as their current business; and legal practitioners cultivate professional abilities. Hopefully, this thesis can lay a good foundation for the future development of on-the-job training for banking industry legal practitioners.