A responsabilidade penal do compliance officer nas organizações

Abstract

This study tried to bring a reflection about the possibility of criminally holding the Compliance Officer in organizations and if their liability could not constitute an affront to subjective criminal liability. The methodology used was bibliographical research with a qualitative approach and jurisprudential analysis of important authors in Criminal Law who address Criminal Compliance and Compliance Officer. For a better understanding and deepening of the topic, were defined initially the Compliance and Criminal Compliance, as well as their main objectives. The historical evolution includes the relevant legislation and International Conventions to which Brazil is a signatory. Were also analyzed the main national laws related to the subject, such as the current Money Laundering Law, no 12.683/12 and the Anti-corruption Law, no 12.846/13. For a better understanding of the Compliance Officer's criminal liability, were defined and demonstrated the main functions of this task, as well as his duty of surveillance, in addition to the position of the Supreme Court on Criminal Action No. 470. Regarding the point of deliberate blindness, is questioned whether the author can be held criminally liable when he is aware of the high probability of criminal offences.