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Enforcing compliance not only protects companies from fines and lawsuits, it also helps to cope with the constantly growing expectations for responsible corporate governance and to uphold a company’s reputation.
Compliance functions are challenged and find it increasingly difficult to recruit the right people with the right compliance expertise. This can lead to gaps in compliance knowledge within the function, resulting in difficulties adapting to constantly changing laws and regulations as well as challenges to meet the growing expectations of society.
In these cases, Compliance functions are seeking external support to fill the skills gap, deliver their compliance remit and support management in achieving its objectives. In particular, small and medium-sized organisations are turning to this model to strengthen compliance and the overall corporate governance.
Services and solutions
PwC’s “Compliance as a Service” is a tailormade solution focusing on helping your organisation to prevent compliance violations and reduce the risk of reputational damages, lawsuits and fines.
With “Compliance as a Service”, we offer a solution where you can flexibly choose where you best need support with compliance activities - be it with implementing a holistic compliance management system or individual activities, like a whistleblowing system, implementing new compliance policies or supporting awareness campaigns to strengthen your corporate culture – it is your choice.
Our service offering is tailored to your specific needs and can be flexed to your organisation’s size and complexity, covering the full range of compliance-related tasks, where needed.
- Compliance risk analysis and assessment
- Compliance organisation
- Compliance policies and procedures
- Review and assessment of compliance
- Whistleblowing channel and compliance communication
- Compliance training and awareness campaigns
- Review and assessment of the Compliance function
Compliance risk analysis and assessment
- Identifying relevant compliance risk fields
- Developing methodologies for identifying and assessing compliance risk
- Structuring global and regional risk identification, including workshops, interviews and questionnaires
- Identifying and assessing measures to reduce compliance risks and develop measures to close gaps
- Preparing detailed documentation and reports – such as risk maps and results presentations for management
Compliance organisation
- Supporting the development of a compliance strategy and objectives based on the company’s mission statement
- Designing compliance organisational structures
- Supporting the definition of roles and responsibilities in the compliance organisation
- Supporting work scheduling and onboarding of compliance resources
Compliance policies and procedures
- Drafting policies on specific subjects such as codes of conduct, anti-corruption and data protection policies
- Process modelling, e.g., for the approval and documentation of invitations, gifts, donations and sponsorship
- Handling of compliance-related employee enquiries
- Supporting the design of compliance checks to monitor adherence to rules and / or detect potential non-compliance
Review and assessment of compliance
- Reviewing and assessing the organisation’s compliance with guidelines, directives, SOPs, etc.
- Assessing third party compliance (e.g. with agreements, contractual obligations)
- Identifying areas of non-compliance and providing recommendations to further align with requirements
- Conducting continuous compliance monitoring
Whistleblowing channel and compliance communication
- Establishing internal and external whistleblower and reporting mechanisms
- Initial assessment of whistleblower reports
- Designing internal and external communications on the topic of compliance
- Creating compliance training concepts
- Developing target-group-specific compliance training materials
- Executing compliance training
- Supporting the communication of new compliance strategies and procedures
- Drafting regular and ad-hoc compliance reports
Compliance training and awareness campaigns
- Developing training materials on compliance topics such as corruption, fraud, antitrust, money laundering, sexual exploitation and abuse, etc.
- Providing on-site and online training in English, French and German
- Developing communication materials, such as newsletters, flyers and compliance videos
Review and assessment of the Compliance function
- Reviewing and assessing existing compliance functions, the overall Compliance program or certain compliance area as well as third parties
- Comparing to leading market practices and providing input on gaps and recommendations, including maturity assessments
- Providing reports to management, board or external stakeholders
- Providing support in closing gaps and implementing recommendations
Your benefits
Stay ahead of the curve
Take advantage of our expertise and get the right sparring partner to do the right things right.
Work more cost-effectively
Leverage our experience to increase efficiencies and drive down the cost of compliance. Our modular approach can be quickly scaled up or down, depending on your specific needs.
Access expert knowledge
Access our broad pool of compliance experts and benefit from their extensive know-how and experience. Fill the gaps.
Whistleblowing
PwC supports you in implementing an appropriate incident reporting system (whistleblowing), including policies, guidelines, procedures, training and controls, giving your employees the opportunity to report violations and irregularities. We also help you to analyse whistleblowing cases and deliver investigative results with the highest level of service.
“Helping you to do the right things right with tailormade solutions.”
Contact us
https://pages.pwc.ch/core-contact-page?form_id=7014L000000YMUgQAO&embed=true&lang=en
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Contact us
Partner, Risk Consulting TIS (Trade, Industry, Services) & Internal Audit, PwC Switzerland
Tel: +41 79 816 27 00
