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. 

How to Avoid Normalizing Bad Behavior

Be sure to stop small indiscretions and breaks in policy before they become rampant. It’s easy to think, “Oh what’s the big deal? It’s just a small indiscretion.” But this kind of thinking can lead to a normalization throughout the business of violating policies. Small cracks can become big fissures, and people won’t know whether the policies really apply. Keep bright line rules which are easy to follow. Not only will it help keep everyone in line, it will also teach everyone what is expected of them. Click to Tweet

Staying Committed to Program Goals

Be sure to set written goals at the beginning of each year or quarter. When you commit to written goals and hold yourself accountable to a timeline, studies show that you are much more likely to accomplish what you set out to do. Writing down your goals for your program helps you to focus on what needs to be done to accomplish those goals, and also allows you to use your time wisely. Instead of simply fighting fires, you’ll accomplish more when you write down and commit to accomplishing your goals. Click to Tweet

Define and Practice Your Strategic Crisis Plan

When you face a crisis or bad news, think carefully about who you will tell, and in what order you will tell them. Do you need to tell the CEO, Board or General Counsel? People can be very territorial about information, so you’ll want to make a strategic decision. In addition to considering who to tell first, try to come up with a plan about how you’ll deal with the problem. If you come in with an immediate plan, people will feel more comfortable, and like you have everything under control. Click to Tweet

Believe in the Mission of Your Program

In order to be wildly effective, you must believe in the mission of your compliance program. When you get sad, stressed or defeated, remember that you are part of a movement changing the world. You are a member of a special group of people ensuring a more just and more fair world. Your due diligence program may not seem life-altering, but the power of the compliance and ethics movement as a whole will and has changed the world. Click to Tweet

How to Command the Attention of a Room

When you’re giving a presentation or live training, stand at the front of the room and smile at people as they come in. Make eye contact and tell people you’re happy to be there. Tell them you’re excited or grateful that they’re there. Your energy is contagious, and people will be intrigued about what you have to say. Click to Tweet