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The Model of Organizing of the Compliance Control System at the Enterprise as the Instrument for Improving its Security
Tiutchenko S. M.

Tiutchenko, Svitlana M. (2021) “The Model of Organizing of the Compliance Control System at the Enterprise as the Instrument for Improving its Security.” Business Inform 3:201–206.
https://doi.org/10.32983/2222-4459-2021-3-201-206

Section: Management and Marketing

UDC 334.02

Abstract:
The article substantiates the relevance of the introduction of a new risk management model at enterprises – a compliance control system, the peculiarity of which is that risk management becomes comprehensive and coordinated within the whole company. The article is aimed at developing and substantiating the model of organization of the compliance control system at the enterprise, which is based on the division of risk zones. Methodological scientific approaches to definition of concept and functions of compliance control according to the functional, process, system and effective approaches are analyzed. The model of organization of the compliance control system at the enterprise is proposed, which, unlike existing ones, is based on a clear division of the acceptable risk zone (the maximum level of residual risk that an enterprise can take on without a threat to its existence), which includes risk appetite and risk tolerance (an additional amount of residual risk that the company is ready to take if measures are taken to minimize risk), and an unacceptable risk zone that begins with exceeding the compliance price over compliance losses. In order to make decisions on mitigation of risks at the enterprise, it is proposed a methodology for the formation and implementation of a compliance control system. The developed strategies for each stage of compliance control implementation are effective and can be used at any enterprise in order to reduce risks and increase economic security.

Keywords: risk, compliance control, economic security, enterprise, risk zones.

Fig.: 2. Tabl.: 1. Bibl.: 8.

Tiutchenko Svitlana M. – Candidate of Sciences (Economics), Senior Lecturer, Department of Economic and Information Security, Dnipropetrovsk State University of Internal Affairs (26 Haharina Ave., Dnipro, 49005, Ukraine)
Email: [email protected]

List of references in article

Kalinichenko, L. L., Shumilo, O. S., and Kulimiakin, Ya. Yu. “Kadrova skladova ekonomichnoi bezpeky pidpryiemstv rozdribnoi torhivli“ [The Personnel Component of Economic Resilience of a Retail Enterprise]. Problemy ekonomiky, no. 1 (2020): 138-143. DOI: https://doi.org/10.32983/2222-0712-2020-1-138-143
Kovalchuk, O. V. “Poniattia systemy komplaiens-kontrol ta osoblyvosti upravlinnia ryzykom komplaiens u bankakh Ukrainy“ [The Concept of Compliance Control System and Features of Compliance Risk Management in Ukrainian Banks]. Molod i rynok, no. 7-8 (2010): 153-157.
Mykhailenko, O. V., and Ryshtun, Kh. Yu. “Efektyvna systema pobudovy komplaiens-kontroliu v bankivskykh ustanovakh“ [The Effective System of Establishing Compliance Control in Banking Institutions]. Ekonomika ta upravlinnia pidpryiemstvamy. 2018. http://psae-jrnl.nau.in.ua/journal/3_65_1_2018_ukr/20.pdf
Ovsiuk, N. V. “Komplaiens-kontrol u sferi trudovykh pravovidnosyn“ [Compliance Control in Employment Relationship]. Hlobalni ta natsionalni problemy ekonomiky. 2018. http://global-national.in.ua/archive/23-2018/128.pdf
Okuniev, O., Boiko, O., and Lukin, S. “Antykoruptsiinyi komplaiens : Posibnyk dlia prohramy z pidhotovky osib, vidpovidalnykh za realizatsiiu antykoruptsiinoi prohramy“ [Anti-Corruption Compliance: A Handbook for the Training Program for Those Responsible for Implementing the Anti-corruption Program]. https://cgpa.com.ua/wp-content/uploads/2018/07/Compliance.pdf
Yudina, S. V., and Nahorniuk, H. O. “Problemy vyznachennia ta upravlinnia operatsiinymy ryzykamy komertsiinykh bankiv“ [Problems of Determination and Management of Operational Risks of Commercial Banks]. Naukovyi visnyk Uzhhorodskoho natsionalnoho universytetu. Seriia «Mizhnarodni ekonomichni vidnosyny ta svitove hospodarstvo». 2019. http://www.visnyk-econom.uzhnu.uz.ua/archive/26_2_2019ua/25.pdf
Levchenko, N. M., and Ivanova, M. I. “Methodological Aspects for Management of Compliance Risks of Companies“. Ekonomichnyi visnyk Derzhavnoho vyshchoho navchalnoho zakladu «Ukrainskyi derzhavnyi khimiko-tekhnolohichnyi universytet», no. 1 (2020): 102-112. DOI: 10.32434/2415-3974-2020-11-1-102-112
Tiutchenko, S. M. “Identyfikatsiia ryzykiv yak faktor ekonomichnoi bezpeky pidpryiemstva“ [Risk Identification as a Factor of Economic Security of the Enterprise]. Topical Issues of the Development of Modern Science. 2019. https://sci-conf.com.ua/wp-content/uploads/2019/10/topical-issues-of-the-development-of-modern-science_16-18.10.2019.pdf

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