Section 1

Understanding the Basics

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Get Started with Compliance Fundamentals

From creating a top-notch code of conduct to understanding the role compliance plays in your organization, this is the place to learn the core elements of an effective compliance program.

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Each compliance program is unique with disparate risks and various levels of maturity. Although there are a number of nuances determined by your company’s size, industry and location, there are still basic principles that are best practices across the board. In this section you’ll learn about the key skills every compliance professional should have as well as the general knowledge base effective compliance professional have and harness throughout their careers.

Just as there are key skills every modern compliance professional should possess, there are fundamental elements every effective compliance program should practice. This section will introduce you to those key components of a robust compliance program and provide the guidance you need to move your career and program to its next level of sophistication. 

7 Steps to Creating a Culture of Ethics, Integrity and Compliance

Earn the benefits of an ethical organizational culture. Like breadcrumbs leading the way through the fairy tale forest of compliance, these evidence-based steps provide guidance on how to create an ethical workplace culture that actually means something to your employees and customers.

NAVEX Global 02/15/2017
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Earn the benefits of an ethical organizational culture. Like breadcrumbs leading the way through the fairy tale forest of compliance, these evidence-based steps provide guidance on how to create an ethical workplace culture that actually means something to your employees and customers.

A corporate culture of integrity must be intentionally shaped. In effective compliance programs, this intention manifests itself in several core elements that operate to prevent, detect and correct problems. These elements have become the gold standard for compliance programs in all industries and have been embraced by standard-making bodies worldwide.

This list can then be prioritized based on the needs of your organizational culture, and both the likelihood and magnitude of potential problems.

Comments

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Great post. Ownership is key to any successful program.

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Oct. 30, 2018, 6:14 a.m. Ryan MacKellar Ryan MacKellar

Great read! It's always good to refresh yourself on the 7 elements.

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June 20, 2017, 11:12 a.m. LaTonya Cole LaTonya Cole

I'm obsessed with the USSC's guidance on the seven elements of an effective compliance program and this article breaks those elements down in a way that is less intimidating and far more digestible. Great read!

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May 1, 2017, 7:35 a.m. MaShari Walker MaShari Walker

This is fantastic! I love this article.

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April 27, 2017, 2:28 p.m. LeBrin Odell LeBrin Odell

This is a great checklist of simple "how-tos" to bridge communication on compliance between management and staff. Compliance is not simply a list of rules to follow, but a two-way street so that all employees are on the same page.

1 Response
March 28, 2017, 8:58 a.m. Jaime Gosselin Jaime Gosselin

I agree.

April 27, 2017, 2:28 p.m. LeBrin Odell LeBrin Odell