Section 1

Understanding the Basics

MoreHide Arrow Down Icon Icon of solid caret pointing downwards.

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.

MoreHide Arrow Down Icon Icon of solid caret pointing downwards.

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. 

How to Grow My Network

One of the best ways to improve your skillset is to find a mentor who is a couple of layers more senior to you. But how do you do that in a world in which so many teams are small or may only consist of one person? One great way is to ask for introductions to other people within the profession from people you already know. Perhaps you only know one other person in compliance. No problem – ask him or her to set up a group coffee or to introduce you via email to someone she knows. Ask a specific question to get the ball rolling, and soon you’ll have your own network to share. Click to Tweet

How to More Effectively Engage an Audience

How do you start a training or presentation in a way that is guaranteed to engage your audience? Simple – try starting with a question. Whether the question is rhetorical or asking for feedback, you’ll immediately get the audience members’ minds engaged in answering your question. This will begin the presentation or training on the right foot, and show your audience you are interested in their thoughts and experience, as well as completing the task. Click to Tweet

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. Click to Tweet

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. Click to Tweet

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. Click to Tweet