Section 1

Understanding the Basics

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Get Started with Compliance Fundamentals

Lay the foundation for growth with the core elements of an effective compliance program. From creating a top-notch Code of Conduct to understanding the role compliance plays in your organization, this is the place to learn the building blocks of compliance.

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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. 

Weekly Compliance Tips | Kristy Grant-Hart

Compliance expert, Kristy Grant-Hart, offers her wildly effective wisdom and best practice advice on compliance program management. 

Kristy Grant-Hart 05/30/2018

Compliance expert, Kristy Grant-Hart, offers her wildly effective wisdom and best practice advice on compliance program management. 

How to Highlight Compliance Champions

If you’re lucky enough to have a leader or manager who believes in compliance and ethics, be sure to highlight to her (or him) subordinates who have supported or championed the compliance program. In this way you create a virtuous circle where the manager can praise her team members who support compliance, creating a win/win where support of compliance is equated with praise from the boss. Click to Tweet

How to Share the Value of Compliance with New Leadership

When there is a change in management or leadership at a company, there is often a big shift in how people relate to compliance. In many industries, compliance hasn’t fully developed as a career, and new leaders may not know how to relate to you or understand the value of what you do. At times like this, it is important to remember that building your relationship with the new leader is important, but also, that part of your job may be to educate the leader about what you do and the direct value you bring to the organization. Try not to be frustrated if this takes some time. New leaders can become great advocates, but they may need to understand what we do first. Click to Tweet

How to Make Compliance More Accessible

Consider asking for the email address Compliance@[yourcompany].com. Many times people in the business can’t remember the name of their compliance lead, or they may have trouble spelling the name of the person. By having a generic compliance@ email address, you create a simple place for people to send compliance concerns. In addition, if someone leaves the business, the Compliance@ email address can continue, so you don’t have to re-print posters or other communication tools. Click to Tweet

How to Better Connect with Employees

Schedule time into your day to go to the break-room, water-cooler, lunch room or coffee area. Active engagement in small talk will help people to see that you are one of the team. It will also ensure that people feel comfortable talking to you, so they’re more likely to visit you when they have a compliance-related problem or concern. Click to Tweet

How to Get Employees to Help Identify Business Risks

A great way to get information for your risk assessments, and to keep your finger on the pulse of the business, is to ask everyone you meet the following question, “What do you think the biggest compliance risk is facing the business?” You’ll be amazed how quickly people tell you where the high-risk areas exist. You'll be astounded by the information employees will provide you with just by asking this simple question. By finding out what others think the risks are, you expand your understanding of the business and can better formulate plans for combating these risks. Click to Tweet