Marián Lora Márquez. Consultora Compliance.
En muchas ocasiones se ha puesto de manifiesto la necesidad de crear un estatuto regulador de la figura del Compliance Officer. Esta necesidad deriva tanto de la falta de delimitación y definición de sus funciones como de la importancia de dotar de protección los principios que rigen su actividad, entre los que destacan la autonomíay la independencia.
El principio de autonomía permite al Compliance Officer actuar por iniciativa propia, sin necesidad de recibir órdenes para llevar a cabo sus funciones; mientras que la independencia le permite desarrollar sus funciones con libertad y neutralidad, sin injerencias externas y con ausencia de represalias por sus cometidos.
Ante la ausencia de un marco legal en este sentido, la persona designada como Compliance Officer podríamos decir que desarrolla sus funciones en una situación de inseguridad jurídica, puesto que no existe regulación que le indique de qué modo actuar en distintas materias como, por ejemplo, en materia de secreto profesional.
El secreto profesional del Compliance Officer, es una de las cuestiones fundamentales a determinar por el futuro estatuto. Sería paradójico negar que el Compliance Officer se encuentra amparado por el mismo, ya que es el órgano de administración quien le encomienda la gestión de los riesgos penales de la organización, por lo que no sería lógico obligarle a declarar como testigo con respecto a lo conocido en el ejercicio de su función.
Del mismo modo, sería conveniente regular cuestiones como el perfil que debe tener la persona a designar, así como las prohibiciones o incompatibilidades para ejercer dicha función.
En cuanto a su perfil, sería conveniente designar a una persona con actitud proactiva y con vocación expansiva, esto es, que considere de su incumbencia cualquier cuestión o situación que se le plantee. Además, es fundamental que posea una formación apropiada para el ejercicio de su función. No obstante, esta capacidad técnica deberá ser objeto de regulación determinando los requisitos necesarios para ser designado Compliance Officer.
Por el contrario, también habría que determinar quiénes no podrían desempeñar dicha función por concurrir en ellos una prohibición o causa de incompatibilidad.
Otra cuestión que, actualmente, inquieta a los Compliance Officers es la relativa a su responsabilidad. El Compliance Officer podría llegar a asumir las consecuencias derivadas de sus actos u omisiones cuando produzcan un daño a la organización o a terceros, causados por dolo, negligencia grave o incumplimiento grave. Es por ello que la omisión de su función de control podría llevarle a ser penalmente responsable del delito cometido por un subordinado.
Estas son algunas de las muchas cuestiones que se suscitan en torno a la figura y al ejercicio de la función de Compliance Officer y, por todo ello, se debe destacar la necesidad, en aras de conseguir una mayor seguridad jurídica para todos los operadores, de crear un marco legal en nuestro ordenamiento jurídico que regule esta figura.
Photo by Robert Bye on Unsplash
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