Criminal Compliance: Exploring the Criminal Liability of Compliance Officers

Abstract

Criminal compliance involves the adoption of legal and regulatory norms aimed at preventing illicit actions within a business and serves as a means of transferring criminal liability by individualizing the conduct of each company agent. In this transfer of responsibility, the figure of the compliance officer emerges through the delegation of tasks by the business owner to a subordinate. The compliance officer operates in an intermediate zone, tasked with executing duties and making decisions.

The compliance officer is the professional appointed by the business owner to assess and manage business activities, with the aim of minimizing potential liability. The compliance officer's position as a guarantor stems from the duty of guarantee held by the business owner.

Consequently, if a crime is committed within the company (such as corruption or environmental crimes), the compliance officer may be held responsible if they had the capacity and obligation to prevent the crime but failed to fulfill their duties.

This article aims to examine the criminal liability of compliance officers within the context of criminal compliance. The methodology employed involves a comprehensive literature review and analysis of relevant legal frameworks. The findings highlight the critical role of compliance officers in preventing and managing criminal activities within businesses. It also emphasizes the importance of fulfilling their obligations to avoid potential legal repercussions.

In conclusion, the study underscores the need for compliance officers to understand their responsibilities and effectively fulfill their duties to mitigate the risk of criminal liability. Additionally, it emphasizes the importance of ongoing education and training to ensure compliance officers remain up-to-date with evolving legal requirements and best practices in the field of criminal compliance.