Compliance Outsourcing

On request, we assume the function of the “External Compliance Officer”.

With compliance outsourcing, we offer comprehensive support in compliance issues, ranging from risk analysis and conceptualisation of the compliance organisation to support during setting it up, training of your employees (presence, e-learning or other training media) and, if required, the introduction of a complete compliance management system. This is done on a subscription basis.

This includes in particular:

• Analysing and documenting the customer’s compliance risks based on the business activity of the customer and its subsidiaries, with reference to organisational structure, customers, products, sales channels and compliance-relevant procedures.
• Monitoring and regular assessment of the pertinence and effectiveness of the measures, principles and procedures introduced, as well as steps taken to address any deficiencies in the customer’s compliance with the obligations in question.
• Ongoing review and updating of the compliance directive as well as its coordination with the management of the customer.
• Establishment and coordination of a “Risk Management and Compliance Coordination Group” (RICKO).
• Advising and assisting the relevant persons with a view to ensuring compliance with the statutory and supervisory obligations imposed on the customer and the reaction to behavioural breaches (sanctions) in this regard. Assistance in the implementation of technical, organisational and/or personnel risk minimisation measures to ensure that the customer’s business dealings conform to statutory and supervisory obligations. equeo CompCor’s compliance-supporting IT Tools can be used in this regard.
• Informing the relevant managing director by means of at least an annual report and, where necessary, ad-hoc and risk-oriented reports.
• Monitoring and coordinating the training of employees in compliance questions and conducting own training measures. .