Roles and Responsibilities in Compliance Management (ISO 19600)

In compliance management as per ISO 19600, roles and responsibilities are clearly defined to ensure the effective implementation and maintenance of the compliance management system. Top management holds ultimate responsibility, providing leadership and committing to a culture of compliance by allocating necessary resources and ensuring that compliance objectives align with organizational goals. Compliance officers or managers are tasked with developing, implementing, and monitoring the compliance program, including conducting risk assessments, establishing policies and procedures, and overseeing training and communication efforts. Employees at all levels are responsible for adhering to compliance policies and procedures and reporting any non-compliance or ethical concerns. Internal auditors play a critical role in assessing the effectiveness of the compliance management system through regular audits and reviews. Additionally, specific roles may be designated for monitoring legal developments and ensuring that the organization remains up-to-date with regulatory changes. Clear delineation of these roles and responsibilities ensures accountability, promotes a culture of integrity, and enhances the overall effectiveness of the compliance management system.
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Timecodes
0:00 - Introduction
0:46 - Key Roles in Compliance Management
1:04 - Top Management
1:31 - Compliance Officer
2:01 - Compliance Team
2:31 - Managers and Supervisors
2:58 - Employees
3:25 - Collaboration and Communication
3:52 - Conclusion