The first compliance steps of a compliance officer include the establishment of a Compliance Management Systems. For some companies, compliance is something completely new and they are just familiar with taking first compliance steps. Other companies have already established a fully-fledged compliance management system.
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Compliance analysis
The compliance officer first deals with the analysis and identification of risk potentials for a company. He then develops proposals on how a company should deal with compliance risks and can avoid them.
Compliance areas
In the individual cases of Compliance Risk identification relevant Jurisdiction in particular, the following areas:
Whistleblowing Software and Approval Management
The compliance officer implements not only a whistleblowing software for whistleblowers but also an approval management. An approval management ensures the right handling of gifts and invitations.
Compliance Management System
Finally, one of the other tasks of the Compliance Officer is to oversee and organise the Compliance Management Systems.
Optimization
The compliance officer optimizes existing processes and processes and initiates the optimization of the department. This can be done through new resources and staff.
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How does compliance find compliance risks?
In particular, the risks to which a company is exposed influence the design of a compliance management system. In the professional world, the expert also speaks of risk landscape, risk situation or risk exposure. Procedure for Compliance Risks We recommend the following procedure for establishing a compliance management system: after identifying the risks, these are evaluated. The risks were split into company specific and general. Specific...
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Whistleblowing as a secret weapon
The fire department should eliminate the source of a danger – quickly, reliably, with suitable means. More elementary part of fire protection is that people alert the fire brigade when they recognize a fire. Compliance violations are like a fire stove, a compliance whistleblower system works like hotline 112 and the compliance officers are practically the fire brigade. The sooner the fire brigade arrives, the...
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Which compliance goals can be achieved with which compliance strategies
With the Compliance Management System, a company wants to promote compliance with laws and guidelines in the company as well as avoid misconduct. Low risk while increasing efficiency and effectiveness are the major goals of compliance. This can only be achieved through the strategic use of compliance measures. A compliance management system is therefore indispensable for the modern business world. Purpose of the system...
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What does a compliance officer do?
The Compliance Officer is responsible for compliance in a company. There are internal and external compliance officers. In both cases, the Compliance Officer identifies as an independent entity for compliance with the legal framework. In addition, the Compliance Officer is responsible for compliance management and the associated establishment of rules to comply with the legal framework. We...
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What is Compliance
Compliance in itself merely means that the applicable legal rules and recognised social values and standards are always respected within the framework of all business activities. Already in the light of the existing regulatory density for companies and entrepreneurs, cross-border activities, increasing regulation and especially special liability for management bodies, each company must now have compliance management...
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Origin of compliance
Today, the term compliance in law and economics is the whole of all measures that are meant to lead companies, organs and employees to comply with legal requirements. The roots of compliance However, the roots of compliance lie in the American financial industry. At first, the description was limited to areas with high risk of...
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Overview of developments in compliance law 2025
2025 is characterized by accompanying regulations: Sustainability, digital security, AI governance and data protection are the focus. Those who create risk-oriented structures in good time and digitally anchored compliance minimize sanctions and increase reputation. Supply chain compliance & sustainability reporting The EU Deforestation Regulation will apply from 30 December 2025 – strict rules against illegal grubbing-up, and SMEs must also be careful. The Battery Ordinance (mandatory from 18 August 2025) and...
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Death sin 7: rejecting key technologies
The market offers a wealth of technologies for compliance requirements. Legal and compliance departments are responsible for the procurement of these technologies. IT managers can, however, participate in the selection and use of optimal solutions. Use a first IT compliance consultation. Essential Technology Areas The essential three technology areas in which compliance managers should invest are: 1. Basic Systems of Record...
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Death Sin 4: Governance Structure Missed
Although companies control basic processes and controls, our experience often lacks governance structure. A good governance structure is designed to ensure risk coverage as well as the adaptation of their processes and controls to regulatory requirements. We are happy to advise you in IT compliance. Effects of a lack of governance structure Impacts of a structurally-free compliance governance can be the following: The corporate architecture becomes sluggish. Reactions to...
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Death Sin 2: Excluding Exceptions
Bypassing the compliance rules can be risky. Sometimes, however, it is necessary to make exceptions and disregard the rules. In order to avoid any risk, you should therefore take precautions. We also advise you on compliance risks. Exceptions take into account exceptions in the compliance process, can be a very wise strategy. And that's...