Compliance

Contact Person Christian Michael Judis

Learn more about
Christian Michael Judis

Themen

Rules are mandatory – Resilience is strategic

Compliance has become an integral part of corporate governance. Deficiencies in organisation, processes or controls can quickly result in reputational damage, exclusion from public tenders and lengthy investigations – often triggered by a mere initial suspicion. Where allegations are substantiated by authorities, companies may face turnover-based fines or personal sanctions.

We support companies and their governing bodies in establishing compliance as a robust operating system: preventive through clear governance and effective programmes, reactive in crisis situations (whistleblower reports, dawn raids, regulatory inquiries), and consistent in the implementation of remediation measures, monitoring and enforcement.

Our approach is pragmatic, fast to implement and resilient under pressure – ensuring that compliance does not slow the business down, but protects decision-making and room for manoeuvre.

What we mean by Compliance

Compliance is more than a code of conduct. It is a system of responsibilities, policies, controls and response mechanisms that makes risks visible and safeguards decision-making.

We combine legal expertise with operational execution – from risk assessments and the design of compliance management systems to internal investigations, dawn raid readiness, dealings with authorities and the legally sound enforcement of measures.

We work closely with ARQIS teams from HR.Law, Transactions, Regulatory and Tech.Law – depending on where the compliance risk arises.

Our focus areas

Governance Systems (Risk & Compliance Management)

We design, implement and optimise governance systems – as integrated programmes or modular solutions. From overarching risk management to business continuity concepts and compliance management systems, we support you from role models and policies through to controls, documentation and reporting.

Compliance Risk Assessments & Audits

We identify and prioritise compliance risks based on industry, geographic footprint and business model, and translate them into risk-based action plans (gap analyses, roadmaps and quick wins). We also implement digital compliance tools to streamline administrative processes and accelerate implementation in a measurable way.

Whistleblowing & Speak-Up Systems (EU / national regimes)

We support the implementation and operation of whistleblowing systems, including process design, role allocation, data protection set-up, communication and case handling – including “ComplianceLine by ARQIS” as a proven framework.

Internal Investigations & Misconduct

When allegations arise, speed, structure and documentation are critical. We manage investigations, secure evidence, coordinate interfaces with HR, IT and data protection, and prepare results in a manner suitable for management and authorities.

Business Partner Compliance / Third-Party Risk / AML & Transparency Register

We design business partner due diligence and integrity checks (third-party due diligence, KYC) and advise on key aspects of anti-money laundering compliance. We also handle administrative obligations relating to transparency registers, regulatory requests and KYC reviews by banks and financial institutions.

ESG & Sustainability Compliance (integrated)

ESG is compliance. We translate sustainability and due diligence obligations into governance structures, processes and controls, integrating them consistently into your compliance management system. In the context of supply chain compliance, we work closely with our Commercial team to align compliance requirements with commercial interests along the value chain.

Dawn Raids, Enforcement & Crisis Management

We develop dawn raid programmes and trainings, accompany searches and coordinate communications with authorities and stakeholders – interdisciplinary and execution-focused.

Training, Monitoring & Enforcement

We design tailored trainings for employees and management, establish monitoring programmes and support the legally sound enforcement of measures – for prevention, damage mitigation and sustainable improvement.

Compliance-Inhouse-Expertise

Holistic consulting in all compliance-relevant legal areas

Our Compliance team covers all compliance-relevant fields of law and provides integrated and structured advice across all phases – preventive advice, ad hoc advice in conjunction with searches, advice on whistle-blower and criminal complaints, suspected incidents and official investigations, as well as on follow-up and future monitoring.

Our in-house compliance expertise and or vast experience in internal investigations enable us to deliver practical, sustainable and quickly implementable solutions.

Typical use cases

Set-up or redesign of a compliance management system following growth, international expansion or incidents
Implementation or optimisation of a whistleblowing system, including processes, data protection and communication
Internal investigations following whistleblower reports, complaints or internal audits, including remediation measures
Board-level advice in crisis situations, including coordination, legal guidance and monitoring counsel during regulatory investigations
Dawn raid readiness: playbooks, trainings, on-site support during searches and authority communication
Third-party risk management: business partner due diligence, integrity checks and contractual safeguards
ESG and sustainability compliance: integration of due diligence obligations into governance, processes and controls
ESG and sustainability compliance: contractual negotiations on scope and allocation of supply chain compliance obligations

Japan Compliance Desk

Please also visit our Japan Desk.

ジャパンデスクのサイトもご参照ください。

Team & Contact

How can we support you?
If you are setting up, enhancing or stress-testing your compliance framework – or need to respond quickly and robustly in a crisis – please get in touch.