The (im)possibility to held a compliance officer hired as employee criminally responsible for crimes comitted by the organization

Abstract

Can an organization with a compliance program delegate the duty of due diligence to the compliance officer and, therefore, shift the responsibility for a crime that is precisely the violation of this duty? To answer this question, it is necessary to go beyond what criminal studies have suggested. Using deductive methodology and bibliographical research, this article is built in the theoretical framework of governance by numbers, by Supiot, to investigate how Labor Law can offer normative grounds to analyze the situation. The conclusion is that this shift of responsibility to the compliance officer, when hired as an employee, is unviable due to principles of Labor Law, especially to the impossibility of transferring risks from organization to employee and subordination.