Responsible for ensuring the dissemination of the Compliance culture, the Department supports Senior Management by providing guidance and advice to the Institution's managers and employees (including members of the Executive Board and Board of Trustees), in relation to compliance with laws, regulations, guidelines, self-regulation, ethics and conduct. It also works to define the most appropriate training/qualifications to be offered to employees and relevant outsourced service providers. Other duties are:

• Define the most appropriate communication channels for its activities
  
• Identify areas with specific training needs and qualification in Compliance, ethics and conduct for priority action
• Establish a channel for dealing with questions related to Compliance
• Appropriately disclose the channel for denouncing illegal acts, regulatory non-compliance, inappropriate or illegal conduct and practices that violate ethical principles and standards
• Prepare opinions on Compliance issues to ensure the correct assessment of possible risks and strategies for control and mitigation
• Review the content, adjust and ensure compliance in materials and documents, such as regulations, disclosure documents, disclaimers, terms of adherence and risk awareness
• Assist in solving issues related to Compliance, ethics and conduct, highlighting the points to be improved, suggesting actions and supporting decision-making by the Institution's managers and employees
• Ensuring the preparation and updating of institutional guidelines regarding values, principles, ethical standards and norms of conduct, including the preparation and availability of a code of conduct accessible to all employees
• Ensure the existence of a flow and criteria for elaboration and approval in relation to internal regulations (policies, circulars, manuals etc.), effectively disclosing them to all impacted employees and defining the deadlines for reviewing these materials in line with the processes and activities of the Institution and the regulatory demands
• Ensure that employees are aware of their roles and responsibilities, providing adequate communication between the Institution's areas and ensuring their clear understanding
• Certify the existence of an appropriate process for creating and reviewing the functional structure of the areas and distribution of responsibilities, contemplating the adequate segregation of activities and mitigating potential conflicts of interest
• Ensure the existence of an adequate process for evaluating products or services in relation to corporate standards and current laws and regulations
• Issuing opinions from the perspective of Compliance risks when approving and reviewing products and services in the relevant forums of the Institution
• Ensure the implementation of action plans to mitigate possible Compliance risks identified in products or services

Compliance Officer: Dr. Rodrigo Silva Rocha
Telephone: +55 11 3016-5716 
E-mail: compliance@ffm.br