Regional Compliance Officer – Siemens

Risk Management

– Knowing strategy, environment and recent market changes of respective business

– Identification / analysis of potential risks / opportunities (together with Executive Management, where applicable)

– Prioritization of tasks / solutions based on risk assessment

– Develop responses and monitor risk mitigation

– Conducting Antitrust and Corruption exposure assessment

– Ensure that risks are adequately reflected in the Compliance risk portfolio

Policies, procedures and controls

– Alignment, monitoring and follow up of policies and guidelines for own area of responsibility

– Informing and consulting business proactively on new Compliance topics / regulations

– Building or participating in a network of experts to ensure consistency and quality of advice

– Initiation and coordination of compliance controls within business operations

– Securing the continuous development of internal compliance controls

– Ensuring that business takes responsibility for Compliance with relevant processes and tools

– Supporting M&A Compliance due-diligence and recommendation for board decisions

– Ensuring high professional standards of quality and transparency of processes

Integration in the business process

– Knowing the business and its environment, e.g. the products and relevant partners / competitors / customers

– Developing and sustaining a solid network based on trust within the business

– Motivating and enabling business to assume responsibility for compliant business conduct

– Integrating Compliance into day-to-day operations, strategic business decision making and personnel processes

– Participating in entity / senior management meetings for early involvement and discussion of business decisions

– Acting as advisor by demonstrating expertise and understanding internal customer needs

– Translating rules and regulations and advice into “language” of business and promoting them actively

– Facilitating Business success by actively developing practical solutions together with business as a team

– Regularly seeking internal customer feedback

– Speaking as one Legal Compliance voice

Training

– Acting as Compliance internal / external partner and change agent within own area of responsibility

– Securing understanding of Compliance and integrity by continuous training and knowledge transfer to business

– Ensuring that mandatory trainings are rolled out to relevant target employees

– Ensuring that own employees are well trained in Compliance topics

– Staying informed about developments of compliance topics and ensuring that own employees are also up-to-date

– Ensuring that trainings are of high quality

Communication

– Acting as facilitator and multiplier in order to assert understanding and commitment of management and employees

– Implementation of respective Compliance Communication strategy (including identification of relevant target groups, tailoring communication concept and selecting channels)

– Knowing what to communicate (including background mitigated risks and benefits), when, to whom and how

– Acting as guard by addressing compliance issues also against resistances

– Participating in business communication activities to promote Compliance system and integrity

– Evaluation of communication effectiveness

Collective Action

– Representing the organization towards governmental officials, NGO`s and others in regard to Compliance System, Collective Action and other Compliance issues with respective CO management

– Actively supporting fair and equitable market conditions and eliminating the temptation of corruption for all those concerned

– Active Stakeholder management and -engagement

– Being active as speaker in relevant events in coordination with respective CO management

– Design and implementation of new Collective Action initiatives and strategies for relevant units

– Supporting Siemens Integrity Initiative

Monitoring and Reporting

– Measuring and monitoring implementation, effectiveness and continuous improvement of Compliance system

– Evaluating adherence to policies / guidelines and ensuring definition, implementation and tracking of counter measures

– Ensuring timely adherence and accuracy with regard to internal reporting obligations

– Prompt reporting of compliance issues (TRACI) and misconduct

– Implementation / performing of Compliance Review process

– Reporting status and adequacy of overall Compliance system and recommended changes to business management

– Deriving measures from analyzing “detect” sources

– Ensuring budget- and forecast planning, -reporting and cost-controlling

Case handling and remediation

– Responsibility for investigations and case tracking (local cases)

– Supporting of Investigations / Legal and case tracking (central cases)

– Detailed knowledge about all entities within area of responsibility

– Ensuring systematic tracking and management of compliance cases; ensuring quarterly certification

– Ensuring the exchange of information with relevant stakeholders

– Ensuring remediation actions by enforcing and securing effective implementation of remediation plan

People Management

– Recruiting the right people accordant to Compliance role-model and job profile

– Coaching and developing employees according to the requirements of a high-performance compliance system incl. succession planning

– Efficient resource-management

– Conducting effective PMP for all direct reports as well as ensuring this for the complete area of responsibility

– Managing Talents in area of responsibility and promoting their visibility within respective organizations/regions/departments

– Managing ready-to-develop candidates, supporting with transfer to next function and monitoring progress

– Encouraging and monitoring the integrity, independence and motivation and qualification of employees

– Ensuring own employees are appropriately well informed

 

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