COMPLIANCE & RIGHT · TREATY
A sustainable compliance organisation makes responsibility visible. It regulates who performs operational tasks, who provides technical advice and who monitors implementation. The size and structure of the company determines the design; a certain function title alone does not yet create an effective organisation.
Determine tasks and powers
The task description must be consistent with actual decision-making options and resources. For critical operations, releases and controls are separated as far as this is organisationally necessary and useful. The overall responsibility of the management does not disappear by naming a compliance function.
Allowing independent escalation
If a suspicion concerns the usually responsible executive, an alternative reporting route is required. Conflicts of interest should be identified early. Which body decides and which documents it receives depends on the company structure, facts and legal requirements.
Interfaces and representation
Personnel, purchasing, sales, IT and legal functions require coordinated processes. An incident may affect several responsibilities at the same time. Representations, emergency contacts and internal processing periods prevent information from remaining in place during holidays or staff changes.
Reports for decisions
The management needs concentrated information on key risks, open actions and necessary decisions. Confidential data will only be passed on to the necessary extent. A report should highlight the need for action and identify its actual basis.
Legal classification and advice
Organizational and supervisory obligations are governed by legal form, activity and specific risk situation. An important point of reference is § 130 OWiG. The measures required can only be assessed on the basis of the company concerned. We examine the legal requirements, arrange responsibilities and develop feasible rules and control points.
Four practical examples
The following fictitious cases illustrate typical examination questions. The concrete solution depends on the circumstances of the individual case.
01 · Double jurisdiction
Sales and legal departments each consider the other to be responsible. A clear division of tasks is called decision, participation and control.
02 · Absence in case of crisis
The compliance officer is not available. A designated representative receives the necessary accesses and can reliably control deadlines.
03 · Reporting against superiors
The normal reporting procedure leads to the data subject. An independent escalation method prevents processing in the own conflict of interest.
04 · New subsidiary
Central is giving guidelines. The local management takes on clearly described tasks; Reports and queries are organisationally secure.
Your next step
Do you want to transfer the requirements to your company or have a specific process checked? A brief description and a reference to existing deadlines are sufficient for the first contact. We shall vote on the scope of examination and compensation prior to commissioning.