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. 

Fowl Play: A Tale of Two Tickets | Epic Compliance Fails

Shortly after accepting some hockey playoff tickets from a client, our feathered friend finds herself at the center of an internal compliance investigation.

In general, employees want to do the right thing. Learn how providing simple access to easily understood policies encourages a culture of ethics and respect - all while reducing organizational risk.

Jaw-dropping compliance failures tend to spare no organization entirely. Using real-world examples, the Epic Compliance Fails series allows you to learn from others without having to make similar mistakes.

Do you have an epic fail story?

We want to hear your story and make it a teachable moment for others. Most importantly, we want to animate it for this new Compliance Next series called Epic Compliance Fails.  And, of course, names will be changed to “protect the innocent.”  Think about it, the greater Compliance Next community learning a critical lesson, all thanks to your story.

If you’re in, email us your story to Be as detailed as you can, omitting any identifying company information or personal names. We’ll be in touch if we think your story would be right for this series. Simple as that.


The Compliance Next Creative Team



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Adequate human behavior requires clear efficient processes.

0 Responses
Oct. 1, 2018, 11:33 a.m. Patrick Henz Patrick Henz

Well done. Appreciate the viewpoint with a bit of humor.

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Sept. 29, 2018, 12:23 p.m. Margaret Denton Margaret Denton

Nice concept and platform.

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Sept. 27, 2018, 6:30 a.m. Edward Longazel Edward Longazel