我国合规人员职业伦理的系统性反思与本土塑造

Systematic Reflections on and Local Reshaping of Professional Ethics Concerning Compliance Staffers in China

合规管理体系是引入的制度,在本土化过程中需要明确规范合规人员的职业伦理。合规人员作为法律职业共同体的组成部分,区别于合规监管人员和法务人员的特殊群体,其代表企业利益,且职责更加广泛。法律职业伦理应便于内化于心、外化于行,而元伦理学的关键词归纳已成为法律职业伦理研究的独特方法论。论文从合规人员内部职务行使、外部职业形象、国家政策要求三个维度出发,将经历试点探索和司法改革后的合规人员职业伦理归纳为专业负责、内外协作的外部伦理,以及守正创新、博识善学、与时俱进、自律忠诚的内部伦理。

The compliance management system is a system ushered in from abroad,whose localization requires clear stipulation of compliance staffers’professional ethics.As a component of legal professional community,compliance staffers differ from the special group of compliance supervisors and legal staffers,and stand for corporate rights and perform broader responsibilities.Legal professional ethics should be kept in mind and expressed through behaviors while the induction of key words regarding meta-ethics has become an exceptional approach for research on legal professional ethics.Starting from the three dimensions-the internal post-executing,external professional image and state policies of compliance staffers,this paper inducts the professional ethics of compliance staffers following pilot exploration and judiciary reform as the external ethics of professional responsibility and internal and external coordination and the internal ethics of sticking to tradition while carrying out innovation,rich knowledge and excellence in learning,keeping pace with times,and self-disciplining and loyalty.