Tools of Effective Compliance: Proven Measures for Compliance Officers

Unlike many standard works on compliance, this book focuses not on the goals, but on the means that enable effective compliance. Unlike many standard works on compliance, this book focuses not on the goals, but on the means that enable effective compliance. From the internal perspective of the compliance officer, everyday problems are addressed and solved with the help of concrete, tried-and-tested measures. Based on the tension between profit generation and compliance, ethical principles as well as the appearance of compliance, its handling of contacts and its procedure in the event of violations are also discussed. Psychological and sociological insights broaden the perspective, put people at the center and offer new starting points for designing successful compliance. The content Background and foundation of complianceDecisions, goals and planningAppearance of the compliance officerSupervisors, groups and newcomers to the professionPartners, allies, competitorsAudits and trainingConflicts, compliance violations and detectionDevelopment and perspectives The authorThomas Schneider holds a degree in business administration. After working for many years as an internal auditor for a Dax 40 company, he has been responsible for the compliance management of a medium-sized steel trader in Essen for several years. He regularly publishes articles and books on the subject of compliance and speaks at conferences. The translation was done with the help of artificial intelligence. A subsequent human revision was done primarily in terms of content.