O presente artigo analisa os deveres e as responsabilidades do Chief Compliance Officer quando na condução de investigações internas, no contexto de programas de integridade. Com o objetivo de analisar o tópico, procurou-se definir compliance com base na legislação pátria, estabelecer o conceito de programa de integridade, tratar das bases das investigações internas perante o sistema jurídico brasileiro, e como parte essencial do programa de integridade, e, assim, analisar finalmente as bases legais que delimitam os deveres e as responsabilidades profissionais do Chief Compliance Officer, nas situações em que lidera procedimentos de investigações empresariais.
This article aims to review the legal basis of the roles and responsibilities of the Chief Compliance Officer when leading Internal Investigations in Brazil. To achieve this objective, we studied the legal basis to define compliance from a Brazilian legal perspective, including the basis for conducting Internal Investigations and its main characteristics. On this direction, we scrutinized the role of the Chief Compliance Officer before the aforementioned assumptions. The final objective was to conclude describing limits of responsibilities of this professional when managing Internal Investigations and its consequences.
