2020, vol. 49, br. 2, str. 115-130
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Komplajans, pravni poslovi i resursi
Compliance, legal and resources
Sažetak
Komplajans funkcija se često susreće sa problemom preopterećenosti, koji se dovodi u vezu sa dodeljivanjem dužnosti od strane Upravnog odbora (ili njihove administrativne uprave) ili drugog menadžmenta, čime se dovodi do konstantnog povećavanja obima posla za komplajans funkciju, u slučajevima kada ima isti ili čak smanjen broj zaposlenih ili manje drugih resursa. Istovremeno, postoje propusti u načinu na koji kompanije interno shvataju dužnosti i odgovornosti koje treba da ima komplajans funkcija, kao i razliku između ove funkcije i pravnih poslova ili sličnih funkcija u praksi. Dok stručnjaci za komplajans dobro razumeju da se njihov posao zasniva na riziku, unakrsnim procesima i mešavini savetodavno-upravljačkih nezavisnih aktivnosti, drugi to mogu shvatiti kao linearan, usko stručan, pravno usmeren posao odvojen od ostalih funkcija. Iako neki posmatraju komplajans kao "organizacioni silos", gde je određeno polje stručnosti ograničeno na zaseban, odvojen sektor sa fiksnim, strogim granicama, koji se tiče cele kompanije, takvo poslovanje zapravo ne dovodi do integracije i saradnje, čime komplajans funkcija mora da se bavi. Ovaj rad se detaljnije bavi takvim izazovima i predlaže proverene, praktične pristupe za efikasno suočavanje sa njima.
Abstract
The compliance function is often faced with difficulties of work overload, associated with random delegation of duties by the management board (or their administration) and by other senior management, leading to a constant increase of the scope of work for compliance, while working with equal or sometimes even reduced staff and a lack of other resources. At the same time, there are also gaps in the companies' understanding of what the duties and responsibilities of the compliance function are supposed to be, and how our role differentiates from legal and other functions in practice. While compliance professionals rightfully understand their work as risk-based, cross process and as a mixture of advisory-controlling independent activity, others may think of it as more linear and narrower, legalistic, and silo-based. While some view compliance as an organizational silo, where a certain area of expertise is limited to a specific, disconnected department with fixed, narrow boundaries, although it concerns the company as a whole, such business conduct and does not lead to integration and cooperation, which the compliance function should definitely strive towards. This article discusses these challenges in more details and presents proven practical approaches for facing them effectively.
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