Compliance Officer- w strukturach organizacji

przez
compliance officer Compliance, czyli zarządzanie zgodnością

Zarządzanie ryzykiem braku zgodności z regulacjami zewnętrznymi i wewnętrznymi jest jednym z kluczowych obszarów biznesowych o charakterze strategicznym. Przedsiębiorstwo, które wprowadza do swojej działalności model compliance m.in. zobowiązuje się do stosowania określonych rozwiązań. To szeroko zakrojony system etyczny działający na bardzo wielu płaszczyznach. System ten ma na celu zapewnienie, iż firma będzie funkcjonowała zgodnie z przepisami prawa. Takie działanie przedsiębiorstwa ma chronić przedsiębiorstwo przed karami czy stratami pieniężnymi w razie wystąpienia problemów wynikających z np. naruszenia przepisów prawa.

Obszary działań compliance

Główne obszary, którymi zajmuje się compliance, to przeciwdziałanie praniu pieniędzy i finansowaniu terroryzmu, a także właściwe postępowanie z informacjami poufnymi, ochrona danych osobowych oraz nadzór nad zgodnością z prawem działalności firmy. Dodatkowo, Ustawy takie jak np. o jawności życia publicznego, czy o odpowiedzialności podmiotów zbiorowych, z mocno zaostrzonymi karami i otwartymi katalogami ewentualnych naruszeń prawa, powodują, że compliance staje się coraz ważniejsze w każdej firmie i jego rola stale rośnie. Dochodzą także nowe obowiązki dla oficera compliance w związku z Dyrektywą o ochronie sygnalistów. Oznacza to także coraz większy popyt na rynku pracy na specjalistów z tego obszaru.

Funkcja Compliance Officer

Funkcja i obowiązki na tym stanowisku ustalane są umownie, biorąc pod uwagę charakter działalności danego przedsiębiorstwa i jego potrzeby. Warto tu wskazać, że połączenie roli compliance officer i inspektora danych osobowych nie znajduje aprobaty wśród przedstawicieli tych zawodów (zbyt duży zakres obowiązków -Belgijski Urząd Ochrony Danych Osobowych 28 kwietnia 2020 r. nałożył grzywnę w wysokości 50.000,00 EUR na spółkę, w której łączono te dwa stanowiska). Zakres obowiązków officer compliance zależny jest od profilu działalności danej spółki. Compliance Officer powinien posiadać odpowiednią wiedzę z wielu dziedzin prawa, jak również rozwinięte umiejętności miękkie, analityczne, zdolności przywódcze i inne. Nierozłącznym powiernikiem officer compliance jest również stres i naciski ze strony np. zarządu, który może nie podzielać licznych obaw przedstawianych w wyniku np. przeprowadzonego audytu.

Zakres obowiązków Compliance Officer

Obowiązki wynikające ze stanowiska compliance officer to przede wszystkim minimalizowanie ryzyka braku zgodności działań przedsiębiorstwa z regulacjami prawnymi, normami bądź zestawami zaleceń w celu zapobiegania stratom finansowym lub naruszeniem reputacji. Obowiązki compliance officer to m.in.:

  • unikanie konfliktu interesów;
  • dbanie o właściwe postępowanie z informacjami poufnymi;
  • przestrzeganie procedur ochrony danych osobowych w przedsiębiorstwie;
  • przeciwdziałanie praniu pieniędzy i finansowaniu terroryzmu;
  • weryfikacja przestrzegania prawa w zakresie zawieranych umów;
  • sprawowanie nadzoru nad zgodnością z prawem działalności budżetowej (VAT, podatek dochodowy);
  • doradztwo w zakresie stosowania nowo wprowadzanych oraz obowiązujących przepisów prawa i standardów rynkowych dla jednostek organizacyjnych;
  • współpraca z kancelariami prawnymi, które oferują instytucjom finansowym audyt prawny oraz opracowują poszczególne procedury w firmie;
  • przeciwdziałanie mechanizmom korupcyjnym w przedsiębiorstwie.
Działy Compliance w organizacji

Zakres obowiązków podejmowanych w działach compliance jest bardzo zróżnicowany i dotyczy każdego aspektu działalności przedsiębiorstwa. Działy compliance zajmują się między innymi:

  • przygotowaniem systemu compliance, czyli zespołu procedur i narzędzi ukierunkowanych na zapewnienie zgodnego z prawem działania organizacji;
  • wdrażanie zmian w organizacji związanych ze specjalistycznymi aktami prawnymi, np.: z zakresu przeciwdziałania praniu pieniędzy i finansowaniu terroryzmu (AML), rekomendacje KNF w bankowości, Normy ISO w branżach wymagających standaryzacji i zarządzania jakością;
  • przygotowywanie systemu raportowania w zakresie compliance;
  • przygotowywanie rozwiązań organizacyjnych zapobiegających konfliktom interesu;
  • przygotowywanie i wdrażanie planu operacyjnego działań niezbędnych do zapewnienia zgodności prowadzonej działalności z przepisami prawa;
  • prowadzenie działań z zakresu audytu wewnętrznego i kontroli wewnętrznej ukierunkowanych na badanie zgodności prowadzonej działalności z przepisami prawa i procedurami wewnętrznymi;
  • propagowanie i wdrażanie standardów postępowania z informacjami poufnymi, zapewnienie wysokiej jakości ochrony danych osobowych itp.;
  • organizacja współpracy z zewnętrznymi podmiotami zapewniającymi wsparcie prawne, audytorskie i kontrolingowe;
  • edukacja pracowników organizacji w zakresie compliance poprzez prowadzenie szkoleń compliance itp.;
  • zapewnieniem wdrożenia systemów do przyjmowania zgłoszeń od sygnalistów oraz wdrożeniem procedur chroniących sygnalistów.

Różne ryzyka wymagają różnych sposobów zarządzania nimi, dlatego procedury compliance powinny być dostosowane do osobowości przedsiębiorstwa. Nie ma idealnego, uniwersalnego i prawidłowego modelu systemu zarządzania zgodnością. Compliance Officer w Twojej organizacji zadba o to, aby funkcjonowała ona zgodnie z wymogami prawnymi i pełną zgodnością. Warto czasem skorzystać z pomocy specjalistów w celu wypracowania sprawnego mechanizmu compliance. Zapraszamy Państwa do zapoznania się z Naszą ofertą z zakresu Compliance. 

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