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. 

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

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

The Most Important Question to Ask Reporters

One of the most important things you can do when listening to a person who is reporting a compliance violation or making a whistle-blower complaint is to ask them the following question, “Is there anything else you think I should know?” This open-ended question allows the person to think about whether there is anything that they failed to tell you because they weren’t sure it was relevant. It opens up the possibility of being told details or additional stories which will help you with the case. Click to Tweet

How to React When Someone Makes a Mistake

Never forget that other people are watching whenever you have to deal with a difficult issue. If a senior leader is in trouble, you can be sure others know about it. Likewise, if more junior staff have made mistakes, their peers likely know about it too. Many companies underestimate the power of institutional justice. If you treat lower-level employees with ethical slip-ups the same way that you treat senior people with similar issues, you create trust. If you don’t people will notice, and that will undermine your program. Click to Tweet

How to Build a Trusting Relationship with Employees

Make it your default position to trust people until they give you a reason not to trust them. Psychologists have proven that people tend to live up to the expectations of those around them. If you approach the employees and leaders at your company with the belief that they want to do the right thing, they are much more likely to live up to your expectations than if you approach them with distrust. Click to Tweet

How to Empower Employees and Protect Your Reputation

Don’t be afraid to remind employees that their future reputation depends on how they act today. Warren Buffet famously said that it takes 20 years to build a reputation, and 5 minutes to destroy it. When you’re talking to your colleagues, remind them that their choices today determine how people feel about them now, and also in the future. Collectively, their actions, along with the actions of their colleagues, determine the reputation of the company, and the value of its reputation as they move through life and to other jobs. Click to Tweet

Why You Should Back Resource Requests with Data

When requesting resources, be sure to make an explicit business case for why the resource is necessary. It’s easy to forget that the business may not know anything about the requirements of the law or the potential punishments for failure. By being explicit and using metrics, numbers or examples of other companies’ best practices, you are more likely to have your requests granted. Click to Tweet