Senior Associate
Compliance Management System
Compliance risks are an inherent part of day-to-day business operations. A structured compliance management system (CMS) makes these risks visible, enables reliable assessment, and supports consistent management. We design a CMS tailored to your organization – one that delivers in practice, not just on paper.
Compliance that works in practice
A CMS is only effective when responsibilities are clearly defined, processes are transparent, and controls are consistently implemented. We support organizations in identifying compliance risks, managing remediation measures effectively, and establishing a system that reflects their specific size, structure, and industry requirements. The result: full transparency and reliable compliance with regulatory requirements.
Our services encompass both the initial design and the ongoing development of your CMS, as well as operational management through an outsourced compliance officer function where required. These services range from risk analyses and process design to the implementation of targeted controls that reduce risk exposure and prevent non-compliance. Each module is interconnected, reinforcing your overall compliance posture while allowing the business to operate with greater efficiency and confidence.
Our services
Set-up & further development of the CMS
An effective CMS establishes clear accountability and robust control structures. We support organizations in building a new CMS from the ground up or enhancing existing systems in line with current regulatory requirements and industry best practices.
- CMS structure design
- Roles and responsibilities framework
- Policy framework and process design
- Integration into existing governance structures
Compliance risk analyses & action planning
Effective compliance begins with a thorough understanding of relevant risks. We identify, assess, and prioritize compliance risks and develop concrete measures for risk mitigation and control.
- Compliance risk assessment
- Risk assessment methodology
- Risk matrix & prioritization
- Action and control plan
CMS readiness check & gap assessment
Is your compliance system adequately prepared for regulatory requirements or external audits? We analyze existing structures and specifically highlight areas where action is needed.
- CMS structure analysis
- Benchmark against best practices
- Identification of regulatory gaps
- Implementation roadmap
Review of appropriateness & effectiveness (IDW PS 980 n. F.)
A compliance management system must not only exist but also function effectively. We support companies in preparing for and accompanying CMS audits according to recognized auditing standards.
- Audit preparation
- Appropriateness review
- Effectiveness testing & audit
- Support in the audit process
Training & awareness programs
Compliance only works if rules are understood and applied in everyday life. We develop target-group-specific training and awareness policies for management and employees.
- Compliance training programs
- Management workshops
- E-learning formats
- Awareness campaigns
Implementation & support of whistleblowing systems
Whistleblower systems are a central component of modern compliance structures. We support companies in the introduction, governance, and operation of legally compliant whistleblowing systems.
- Implementation of whistleblower systems
- Reporting and escalation processes
- Investigation guidelines
- Documentation & reporting
Compliance as a managed service
Not every organization requires a dedicated in-house compliance function. We take on selected compliance responsibilities and support the ongoing management of your CMS on an outsourced basis.
- Outsourced compliance officer function
- Ongoing CMS support
- Monitoring of regulatory developments
- Regular compliance reporting
Compliance program portfolio management
Many organizations manage multiple compliance topics simultaneously – from data protection to supply chain due diligence obligations. We help structure these programs systematically and manage them efficiently across functions.
- Compliance program structure & governance
- Prioritization of regulatory initiatives
- Cross-functional compliance coordination
- Management reporting
Support with special regulatory requirements
New regulatory obligations arise continuously. We support organizations in the structured analysis and implementation of emerging compliance requirements — ensuring seamless integration into existing frameworks.
- Implementation of new compliance requirements
- Integration into existing CMS structures
- Support during regulatory audits ans reviews
"Compliance builds trust when it operates effectively in day-to-day business. A well-designed CMS provides the security and foundation that enables sound, confident decision-making."
Benedikt Link
Associate Partner