A medium-sized global market leader in special vehicle construction only had individual measures in place to ensure compliance. There was no integrated, holistic compliance management system in place, which, in addition to content-related requirements and the compliance organization, also included an active "compliance culture" within the company. On the one hand, the banks exerted pressure to quickly establish an integrated compliance management system. There was also pressure from one of the shareholders, as there had been compliance incidents in one of its companies. The interim manager was therefore commissioned to develop a concept for an up-to-date, comprehensive compliance management system in the company.
Compliance risk assessment creates basis for compliance concept
After taking stock of existing measures, the interim manager carried out a compliance risk assessment. He derived a time and action plan from the gap analysis of the target and actual status. He agreed this roadmap for compliance management with the management and the shareholders. The interim manager then developed the individual implementation measures. These included:
- creating compliance guidelines
- training managers and employees
- appointing an internal compliance officer and an ombudsman
- establishing a compliance hotline
The interim manager also created the conditions for subjecting external business partners to standard compliance checks.
Compliance training and close coordination with the divisions
Compliance can only be ensured if employees are aware of the necessity of the measures. The interim manager therefore attached great importance to winning over employees to the topic of compliance. To this end, he initiated question and answer sessions, designed compliance training courses and repeatedly coordinated closely with the departments.
Externally certified compliance management system
Thanks to the comprehensive yet pragmatic support provided by the interim manager, the company now has a professional compliance management system, the appropriateness and effectiveness of which was certified by an external certifier. The external financing costs were demonstrably reduced as a result of these measures. In view of the company's activities and size, the compliance management system can be regarded as exemplary in its sector.
Continuous support and optimization of the compliance management system
The interim manager continues to support the company as a member of the compliance board, which usually meets twice a year and analyses the effectiveness of the compliance measures as well as the need for training and further development and makes appropriate decisions. He is available to the company as a contact person for individual processes and provides advice on how the company should position itself in the respective situation. The interim manager also supported the company over a longer period of time in continuously optimizing the compliance management system and adapting it to new legal requirements. Due to the temporary absence of the internal compliance officer, he was also available as an (external) interim compliance officer in the meantime.
