How does a compliance check take place?

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In order to carry out an audit in accordance with the rules of the art and to be able to issue a certificate of conformity, the control must be carried out according to a precise and detailed process.

The purpose of the auditor is to ensure good practice and ethics in the company being audited.

The organization employment database of internal control
The audit must be carried out regularly and with knowledge of the latest laws and legislation in force. The auditor will verify that the legal documents are drafted, adapted and available at the request of employees. The compliance officer must have drafted all ethics and regulatory documents, in particular the compliance charter and internal regulations, which must be updated as soon as necessary. In the event of a risk of any nature whatsoever, the compliance audit must be able to suggest and implement practical and adapted solutions to limit the risks, or even eliminate them.

The management and company directors must provide the auditor with all the documents necessary for the proper conduct of the control procedure.

Communication between hierarchy and employees
The compliance controller ensures that information is correctly transmitted from management to employees regarding compliance. The compliance officer must communicate constantly with the hierarchy and all teams. Having a pedagogue role, he raises their awareness of ethics as well as the application of compliance standards. The goal of communication is to create a real culture of compliance within the company itself. Each employee must feel invested in this mission.