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. 

Should I Stay in Contact With My Previous Employer? 

When you’ve left one workplace to take a new job, it can be easy to let your friendships stay in the old office. Instead of making a clean break, try to choose at least one person to keep in touch with from your old job. Perhaps you’ll need a reference some day from the job, or you’ll want to use a template or a vendor that you used previously. By actively keeping at least one colleague from each job you’ve left, you’ll grow your network and your ability to draw on different sources of inspiration and experience to benchmark your program and solve dilemmas. Click to Tweet

How to Measure the Effectiveness of Compliance Training 

While it is often true that Boards and managers love to evaluate training by the number of hours invested by staff in the training, a better way to measure your training is to gauge how much your participants learned and retained. By following up with a selection of them to ask about their experience, or to ask them a follow-up question, you can find if your training was effective, instead of simply completed. Click to Tweet

How to Conduct Better Internal Investigations 

When you’re performing an internal investigation, try to stay neutral until all the facts are in. Human nature is to decide on a point of view and then look for facts or information that proves your viewpoint correct. But in an internal investigation it is critical that you stay neutral until everything has come out. By recognizing that your instinct is to not be neutral, you can work to ensure a fair outcome for all involved. Click to Tweet

How to Have More Productive Conversations

How many times have you had a conversation with someone where you think you’re on the same page, only to find out weeks or months later that they don’t remember the same thing you do, or worse yet, don’t remember the conversation at all. Whenever you have an important conversation where a decision is made or strategy is set, be sure to commemorate the conversation in writing. It doesn’t have to be extensive. Simply write, “Thanks so much for the meeting. We decided…” It will protect you in the future if there are conflicting memories of what happened. Click to Tweet