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 04/10/2018

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

How to Build Trust as a Compliance Officer 

One of the most important aspects of being a wildly effective compliance officer is the ability to manage other people’s expectations. Prepare people for bad news or for how long it will take to get an answer. If people aren’t aware of the length of time something will take, they may get resentful. Likewise, if the answer is likely to be no, manage that expectation early on. The more you can manage expectations, the more likely you are to be trusted by others. Tweet This Tip

Where to Post a Whistleblower Hotline Number 

We’re all used to seeing posters up in break rooms showing the whistleblower hotline number. While that’s important, where else can you put the number to make it stand out? Why not try adding it to badge-holders or lanyards that people wear around their neck. You could also try adding it to the edge of a payslip or putting it on wallet cards employees can keep in their desks. By putting the number in surprising places, you’re more likely to capture employees’ attention and to increase awareness. Tweet This Tip

When to Get Commitment in Writing 

People are more likely to follow-through when they have a specific way to do so. At the end of conferences or training, ask each attendee to commit to one specific thing they’re going to and timeframe in which it will be done. Get it in writing, then follow-up with them. Commitments in writing are much stronger than verbal agreements, and it gives you the opportunity both to follow up, but also to find out if the person has any questions or issues. Tweet This Tip

How to Be a Better Mentor 

Many people seek out a mentor, but do you know it is equally important both to have a mentor and to be a mentor. No matter what stage you are in your career, there will always be those who can learn from you. And even when you’re at the pinnacle of your career, you can always learn more and grow your skillset by finding a mentor that has accomplished things you haven’t. Make a commitment to always have a mentor and to be a mentor. Tweet This Tip

How to Change The Way Employees View Compliance 

Don’t be afraid to establish a brand for the compliance function within your organization. Perhaps you can come up with a logo or a tagline. Think about how you want to be perceived. Are you primarily a helper? A police officer? Friend? Maybe you’re a little of each. Think about consistently using colors, fonts or pictures to portray an image of the compliance program as a cohesive whole. Branding isn’t just for the marketing department. It can train people to expect a consistent experience with you and your department. Tweet This Tip