【自我增值】商業道德與誠信都關 HR 事？與 CEO 合作的學問

對於大多數 HR 管理人員來說，倫理困境（ethical dilemmas）是從業員面臨最大挑戰之一。現時企業相比以往著重於制定政策和流程，進行灌輸及倡導行為的文化, 以及基於利益 / 價值的領導。HR 需與風險管理部門攜手合作，制定公司的道德及行為守則。這些守則不僅反映了非法的行為和舉動，而且還反映了不尊重、侮辱和無法表現公司核心價值的行為，最終的目標是確保業務可持續發展。

在金融領域範疇中，首要在工作中保持公司的合规性，並遵守紀律以履行業務運營中的監管要求。高級管理層接受過指引，需遵守《銀行業條例》和財務報告的要求，在公司內部的年度審查中，需要進行控制和自我評估。

以下是制定和灌輸公司行為準則的關鍵步驟：

1. 明確定義和辨識不可接受的行為
2. 建立、溝通和執行違反準則的管理
3. 建立秘密舉報濫用行為的機制，支持挺身舉報系統
4. 入職培訓期間為員工提供足夠的行為準則
5. 定期與各部門負責人一起審閱和更新準則

人力資源和風險管理部門通常會確保行為準則是公司組成的一部分，並且因應市場的轉變、法律和社會環境轉變而產生修訂。行為準則應該定期更新，讓整個企業的員工都可以適時及方便地查閱。當行為準則發生重大變更時，HR 需要將相關的變更在公司內部發放/ 傳遞，並且確保各業務部門有適當的培訓水平。如有必要，須確保員工已經閱讀，並理解行為準則的更改，例如：強制性在線會議，或作為公司年度審核程序的一部分。所有員工應該閱讀及熟知行為的準則，並在年底評審時簽署確認。HR 須意識到這是學習合規的重要部分。

Business Ethics and Integrity – How HR should work with CEOs to strike a balance

To most of the HR executives, ethical dilemmas are one of the top challenges for practitioners. Now more than ever, organizations must create their policies and processes for instilling and championing a culture of ethical behavior and value-based leadership. HR and risk work hand-in- hand to prepare the corporate codes of ethics and conduct which reflect not only behavior and actions that are illegal, but also those that are disrespectful, degrading and not reflective of the core values of the company. The ultimate goal is to ensure business sustainability!

In the banking and finance sector, it is important to maintain organizational integrity at work and be disciplined to observe the regulatory requirement at all times in operating the business. Top management are coached to be compliant with banking ordinance, and financial reporting requirement and to ensure the internal key control self-assessment are in place with annual review.

Here are key steps for developing and instilling corporate Code of Conduct:

1. Clearly define and identify unacceptable behavior
2. Establish, communicate and implement consequences management
3. 3. Set up confidentially report for abuses, speak up / whistleblowing mechanism to be in place
4. Provide adequate training of Code of Conduct to employees during orientation
5. Routinely review and update the Code with respective department heads to sign off

HR and Risk Department will usually work to ensure the Code of Conduct is a living component of your organization’s DNA that changes to reflect an ever-changing legal and social landscape. It should be updated regularly, is easily and readily accessible for the entire organization. When changes are material, communicate those changes throughout your organization and make sure to include the appropriate level of training. If necessary, ensure employees have read and understand the changes through a process that ensures their review, such as a mandatory online video or as part of a company-wide annual review process. All employees should also read and familiarize with the Code of conduct and sign off the document at the end of the year. This form part of the compliance learning !

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