REQUIREMENTS FOR COMPANY MANAGEMENT WHEN SETTING UP A COMPLIANCE FUNCTION
One question that arises time and again in corporate practice is the question of the scope for discretion when setting up and operating a compliance management system. A distinction must be made here between binding and entrepreneurial decisions by the company management.
There is no room for discretion in complying with statutory provisions. These must be complied with without any ifs or buts. These are binding decisions.
On the other hand, there is certainly room for discretion when it comes to defining and implementing organizational measures. After all, company management does not usually take on the task of ensuring compliance with laws and regulations as an original task itself, but delegates this to a specific group of people and provides the organizational framework. Even monitoring and control can be delegated to supervisors. In this respect, these are original management and organizational tasks that fall within the scope of entrepreneurial tasks - and there is undoubtedly entrepreneurial discretion for these.
The following requirements apply to the establishment of a compliance function:
Organizational requirements
Liability for breaches of the law is not strict liability. Liability applies to the company management in person if it fails to take suitable organizational measures. Case law[1] assumes that the company management has a duty to create the organizational conditions to ensure that the agent can actually fulfil the duty to avoid compliance violations. The scope of the duty is related to the size and structure of the company. The case law does not provide any further details on the "how" of a compliance organization, which allows the reverse conclusion that it sees the establishment and design of a compliance function as an original entrepreneurial task.
In addition to the aforementioned aspects of personnel allocation, organizational anchoring, task definition and control/supervision, the main organizational requirements include integration with other management functions within the company. These include, in particular, general risk management, quality management, controlling and auditing. The form in which this integration takes place depends on the organizational structure; however, it is essential that the compliance function is not an isolated "island solution".
Monitoring and control requirements
In principle, the organization used (both within the meaning of Section 130 OWiG and Section 43 GmbHG) requires suitable monitoring and control of the persons to whom the tasks of the compliance function are assigned. Random checks on employees are therefore a fundamental basic function of the company organization.
However, the monitoring and control measures must be practicable and reasonable. Where exactly the limits of practicability and reasonableness are to be seen is not clearly defined. However, they are likely to be exceeded if the intensity of monitoring and control is so high that it comes close to the supervisor actually performing the supervisee's tasks themselves. This would de facto undermine the right to delegate tasks.
Requirements for investigations and inquiries
The rightsspeech[2] assumes that - although no clear obligation to do so can be derived from the law - a company must have internal Examinations / investigations if there are concrete indications of a breach of rules, even if these indications are not the result of regular, accompanying monitoring from the compliance function's area of responsibility. If the compliance function identifies breaches of rules in the course of its regulatory activities, a corresponding investigation must be initiated without doubt so as not to call into question the purpose of the compliance function per se.
Summary and outlook
A sense of proportion is required when setting up, implementing and operating compliance management systems. Cost aspects on the one hand and the question of organizational proportionality and internal acceptance on the other are weighty arguments for implementing not what is possible, but what is necessary in the area of the compliance function. The permissible exhaustion of entrepreneurial discretion should therefore also take place at this point.
However, this leeway should not obscure the fact that the implementation of a compliance management system is a business imperative, as the mere absence of such a compliance function can give rise to personal criminal and civil liability on the part of the company management.
Dealing with a compliance management system is complex and requires a number of different specialist disciplines. On the one hand, a legal perspective is required, but this is not sufficient when viewed in isolation. Breaches of the rules can occur anywhere in the company. Therefore, in-depth knowledge of organizational structures and the interaction of functions and processes is essential in order to identify and define the requirements for an adequate compliance management system in the context of the company-specific risk landscape. The right measures for the structure and implementation of the CMS are then derived and implemented on this basis. In addition, knowledge of and experience with other management systems, such as risk or quality management systems, This is an advantage in order to ensure the necessary interlinking of systems within the company.
Eckart Achauer, studied law and business administration, postgraduate Master of Business Administration (MBA). In-service training as European Quality Manager (DGQ), mediator specializing in business mediation and Certified Compliance Manager (TÜV).
He worked for around 10 years in the international insurance industry in the management of a Swiss insurance group in various functions (claims department, sales, assistance) before moving into management and business consulting in 1997.
As a consultant and managing director of various consulting companies, Mr. Achauer has specialized in organizational and process optimization as well as in the development and implementation of management systems - quality management, risk and compliance management.
At Senator Executive Search Partners, Mr. Achauer is responsible for compliance management. As part of compliance audits, he analyses their organizational "compliance fitness", raises awareness and trains management, executives and employees and supports companies in setting up and implementing individual compliance management systems. In doing so, he always takes into account the specific risk situation of the company. Thanks to his many years of experience as a manager and consultant, he is very familiar with the business challenges faced in practice.
They are coordinators, communicators, problem solvers and (at best) interculturally competent: international managers. More and more frequently, cross-border tasks of internationally operating companies are assigned to them in order to cope with the increasing management complexity.
What tasks does an international manager have to face? What requirements must they fulfill and what expectations do they face?
International managers are primarily selected on the basis of their professional qualifications. They fulfill their tasks with extensive specialist knowledge, but the necessary cultural background knowledge is often disregarded when filling the position. However, understanding different cultural mentalities is extremely important in order to work successfully with business partners from abroad. In this context, it is completely wrong to assume that a good command of English can overcome all challenges. Mastering the respective national language for international tasks should not be underestimated. Certain nuances of communication can only be conveyed and understood in the native language. Even a basic knowledge of the local language helps to create a pleasant atmosphere and show that you treat your interlocutor with respect and as an equal.
In addition to the necessary language skills, international managers should also be able to work well with people from different cultural backgrounds. This requires a great deal of sensitivity and a high degree of empathy. Everyone is influenced by the prevailing values and views of their own culture, and international managers are no exception. In business dealings, your own cultural background should never be transferred to the person you are talking to. It is much more important to view a situation from the other person's perspective, regardless of your own perceptions and evaluations.
Case study
The following case study shows you which mistakes an international manager can avoid if he knows the mentality and culture of his negotiating partners.
Thomas L. is an international manager and leads the cooperation negotiations between a German plant manufacturer and a company from Russia. In an initial meeting, he explains the upcoming procedures to his Russian colleagues, names milestones and defines processes. As the Russian colleagues do not object, he assumes that both sides are in agreement. A few weeks later, when asked, he learns that the cooperation partner has not carried out the steps and processes set or has not carried them out as apparently agreed. The Russian colleagues justify this with unexpected circumstances. Thomas L. is disappointed and wonders whether the behavior is due to unreliability. With the necessary knowledge of the Russian mentality, Thomas L. could have avoided this situation. The lack of objection from his Russian colleagues only means that nothing has been decided for them yet. The very process-oriented execution of the explanations also does not correspond to the more person-oriented Russian mentality. Nor would Thomas L., with the necessary cultural knowledge, have wrongly assumed that the cooperation partners would inform him of delays of their own accord. Concealing or glossing over negative events is part of the distinctive culture of saving face in Russia and many other Central and East Asian countries in order to avoid painful confrontations for both sides. Furthermore, Thomas L. did not take into account that he would also have to allow time for building and maintaining the business relationship.
Thomas L. could have avoided this unpleasant situation if he had been properly prepared for the cultural idiosyncrasies of his Russian negotiating partners.
What about your intercultural competence?
Put your own intercultural competence to the test in our self-test. Our test does not determine a score on a scale, but rather aims to sensitize you to the various dimensions of intercultural competence.
Professional competence
How well do you know your own culture? Are you aware of the applicable values and norms? How well do you know the culture in your target country? What values and norms apply there? What is the historical background of the target country? Do you know the special features of the target country? List the most important business features of your home country and sort the features in order of importance from 1 to 10. Check whether the features are also valid in the target country and what numerical value they would have there.
Social competence
How do you deal with stress? Could you resolve conflicts in the destination country in line with local cultural expectations? Do you like the destination country and its inhabitants or do you have a negative attitude?
Self-competence
Do you know the paradigms that determine your world view? Which paradigms are culturally determined, which are subculturally determined? To what extent do the paradigms influence your self-image?
Competence to act
Take a detached look at your own culture and try to analyze it. Can you adopt an independent perspective? What results does such an analysis provide you with for the target country? Do the results help you to consciously shape your encounter with the culture in the target country?
In summary, it can be said that every country has its own economic, social and cultural characteristics. In addition to language skills, it is very important for every international manager to pay attention to these particularities in order to work successfully with business partners abroad. If you pay attention to the aspects we address in our blog post, this will pay off in your day-to-day work as an international manager. We wish you every success!
The complete series of articles "The roles of an international manager" by Sergey Frank has been published online in the Neue Zürcher Zeitung and can be accessed HERE.
HR consultant and bestselling author Sergey Frank also presented in a HANDELSBLATT COLUMN how companies can best conduct themselves abroad.
Die Zusammenarbeit mit Personalberatungen wird von Kandidaten geschätzt und insgesamt positiv bewertet. Diese Vermutung konnten die Personal – Experten der HR Consult Group AG in einer aktuellen Umfrage bestätigen.
Für die Befragung wurden 518.653 Kandidaten, die bereits Kontakt mit Personalberatern hatten, gebeten, 38 Fragen zum Thema „Personalberatung“ zu beantworten. Über 10.000 Rückläufer spiegeln erstmalig ein relevantes Meinungsbild zum Service und Image von Personalberatungen wider. Auch wurden erstmals Wünsche, Idealvorstellungen und Ist-Zustände von Kandidaten im Umgang und in der Zusammenarbeit mit Personalberatungen in offenen Fragen beantwortet.
1. Personalberatungen als Interessenvertreter und Ansprechpartner für Kandidaten – eine WIN – WIN Situation!
Sehr positiv sehen die befragten Kandidaten die Zusammenarbeit mit Personalberatungen. Durchschnittlich 76 % gaben an, dass Personalberatungen den richtigen Kandidaten für ein Unternehmen finden und die Interessen des Unternehmens vertreten.
Aus Sicht der Kandidaten sagten durchschnittlich 48 %, dass Personalberatungen die richtige Stelle für sie finden und ihre Interessen vertreten. Erwähnenswert ist hierbei, dass fast zwei Drittel der jungen Kandidaten (18 – 34 Jahre) die Personalberatung als ihren Interessenvertreter und optimalen Ansprechpartner für die eigene Jobsuche sehen.
Herr MATTHIAS BARHAINSKI, Prokurist der Senator HR Management GmbH, beschreibt aus seiner Sicht das Image der Personalberatungen wie folgt:
„Es ist erkennbar, dass in Zeiten der Digitalisierung der Anspruch der Unternehmen an zukünftige Mitarbeiter und der Anspruch der Kandidaten an einen neuen Arbeitgeber immer umfangreicher werden. Als Personalberater ist man nur dann erfolgreich, wenn man beiden Ansprüchen gerecht wird und man ist als Dienstleister derjenige, der das Unternehmen nach außen und der den Kandidaten ins Unternehmen vertritt.
Dies erkennt vor allem die junge Generation der Fach- und Führungskräfte. Sie wissen, dass ein Personalberater gerade bei der Analyse der Anforderungen des Unternehmens, aber auch bei der Verhandlung mit dem Unternehmen den Kandidaten optimaler und kompetenter vertreten kann, als er es selbst könnte.
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
What was previously only an assumption has now been confirmed by our candidates in an extensive survey: They rate the collaboration with recruitment consultancies positively overall and particularly value the consulting services.
For our latest survey, we compiled 38 questions on the topic of "recruitment consultancies". The aim was to obtain an up-to-date and comprehensive opinion on the service and image of recruitment consultancies. Over 10,000 candidates took part in this survey. For the first time, the candidates surveyed were also given the opportunity to express their wishes, ideals and personal experiences in dealing and working with recruitment consultancies.
Candidates would like to receive offers at least once a month
At 80 percent, the vast majority of survey participants would like to be informed about new offers and career opportunities by a recruitment consultant at least once a month or more often. More than a quarter of all respondents (27%) would like to receive fairly intensive support (weekly contact), while 23% of respondents would be happy to receive information every two weeks. Just under a third (30 percent) of all respondents would like to be informed about new career opportunities by their personnel consultant once a month.
This preference is also confirmed in a more differentiated analysis of the various age groups: In all the age ranges analyzed, a monthly cycle was most frequently stated as a preference, followed by a weekly information service.
Our survey on the topic of "personnel consulting" goes even further. In addition to the frequency of contact, it is also important with which media and at what time our candidates can be reached. More on this in the next blog!
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
What was previously only an assumption has now been confirmed by our candidates in an extensive survey: They rate the collaboration with recruitment consultancies positively overall and particularly value the consulting services.
For our latest survey, we compiled 38 questions on the topic of "recruitment consultancies". The aim was to obtain an up-to-date and comprehensive opinion on the service and image of recruitment consultancies. Over 10,000 candidates took part in this survey. For the first time, the candidates surveyed were also given the opportunity to express their wishes, ideals and personal experiences in dealing and working with recruitment consultancies.
Email still the top communication channel
At more than two thirds (67 percent), the vast majority of respondents prefer to be contacted by email by their recruitment consultant. A further 10 percent of candidates would like to be contacted by telephone. Just as many candidates do not prefer any of the available media. Only 4 percent and 3 percent of respondents respectively would like to receive messages from their recruitment consultant via social business networks or WhatsApp.
Preferred communication channels of the candidates
The right time is and remains an individual matter
Changing jobs is often a step that should not be made public. If possible, the current employer should not find out about the job search until the new position is secure. The desire for discretion is also reflected in the answers of the candidates surveyed. 28 percent of all respondents would prefer not to be contacted by telephone until after 6 pm. The majority (40 percent) stated that their availability by telephone varied greatly. Very few candidates prefer to be contacted by telephone from the morning (before 8 a.m.) to the afternoon (until 5 p.m.).
Preferred time for contacting candidates
Mr. Daniel Fertl, Head of Research at Senator HR Management GmbH, confirms that it should be clarified with each candidate individually when and how contact should be made:
"Ask each candidate directly in the first interview how often and by what means they would like to be contacted if you have suitable job offers for them or want to clarify important questions at short notice. Too frequent calls or emails may put the candidate under pressure, too little contact quickly gives the impression of carelessness in your support. For you as a recruitment consultant, it should therefore be a top priority to find out what the candidate prefers. This then forms the basis for further collaboration."
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
Die Suche nach einem neuen Job ist immer ein Umbruch im Leben. Manche Kandidaten sehen dem neuen Abschnitt mit Freude entgegen, andere mit gemischten Gefühlen. Ein vertrauensvolles Verhältnis und eine enge persönliche Bindung zu seinem Personalberater ist daher ein wichtiger Faktor im Prozess der Jobsuche. Stimmt die Chemie, klappt es sicher auch schnell mit dem neuen Job.
Dies bestätigt die aktuelle Umfrage der HR Consult Group zum Thema „Personalberatungen“ mit über 10.000 Befragten. Die Antworten auf die insgesamt 38 Fragen vermitteln ein aktuelles und umfassendes Meinungsbild zum Service und zum Image von Personalberatungen.
Seriosität und Vertrauen sind ausschlaggebende Faktoren
Die Umfrageergebnisse bestätigen eindeutig, dass ein seriöses und vertrauenserweckendes Auftreten des Beraters von entscheidender Bedeutung ist. In allen befragten Altersgruppen gaben mehr als 80 Prozent der Teilnehmer an, dass Sie bei der Zusammenarbeit mit einem Personalberater besonderen Wert auf Seriosität legen. Mit fast 90 Prozent ist der Teilnehmergruppe über 45 Jahren das Thema Seriosität am wichtigsten, gefolgt von der Altersgruppe 30 bis 45 mit 87,5 Prozent und der jungen Zielgruppe (17 bis 30 Jahre) mit rund 83 Prozent. Ein ähnliches Ergebnis zeigt sich auch in den Analysepunkten Vertraulichkeit und Transparenz. Beide Kategorien werden von den älteren Kandidaten am häufigsten als sehr wichtig bewertet.
Bei der persönlichen Ansprache ist das Ergebnis ebenfalls in der Altersgruppe 45+ am höchsten. Knapp drei Viertel der Befragten gaben an, dass ihnen der persönliche Kontakt besonders wichtig ist. Aber auch die übrigen Kandidaten legen großen Wert auf eine persönliche Ansprache (73,5 Prozent bei den 30 bis 45-Jährigen und 70,4 Prozent bei den 17 bis 30-Jährigen).
Auf eine zeitnahe Vermittlung legen vor allem die jüngeren und die älteren Kandidaten großen Wert. Sowohl bei den 17 bis 30-Jährigen als auch in der Altersgruppe 45+ gaben mehr als 77 Prozent an, dass ihnen eine zeitnahe Vermittlung wichtig ist. In der Altersgruppe der 30 bis 45-Jährigen war für lediglich drei Viertel der Befragten eine zügige Platzierung von besonderer Bedeutung.
30-45-Jährige besonders interessiert an spannenden Angeboten
Während die ältere Analysegruppe besonders an den Themen Seriosität, Vertraulichkeit und Transparenz interessiert ist, legt die mittlere Altersgruppe der 30 bis 45-Jährigen besonderen Wert auf spannende Angebote. 84 Prozent gaben an, dass ihnen eine regelmäßige Info mit spannenden Angeboten wichtig sei. Die übrigen beiden Altersgruppen liegen hier fast gleichauf (82 Prozent bei der Altersgruppe 45+, 81 Prozent bei der jungen Zielgruppe).
„Egal, in welchem Alter ein Kandidat ist, eine professionelle und vertrauensvolle Zusammenarbeit bildet die Basis für eine erfolgreiche und zufriedenstellende Vermittlung. Wichtig ist, dass sich Jobsuchende in der Betreuung durch einen Personaldienstleister wohlfühlen und ihn als verlässlichen und seriösen Partner wahrnehmen. Dazu gehört im ersten Schritt der regelmäßige persönliche Kontakt. Darüber hinaus sollte die Kommunikation so transparent wie möglich gehalten werden, damit der Kandidat genau weiß, was mit seinen Daten passiert und wie der Vermittlungsprozess im Detail abläuft.“, rät Herr Andreas Berger, Partner bei Senator Executive Search Partners für die Bereiche Consumer Goods, Digital & Online Business und Handel & Dienstleistungen.
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
