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. 

When to Hire a Compliance Consultant

For many compliance officers with tight budgets, the thought of getting external help from consultants or technology solutions seems impossible. One way to justify the costs of outside help is to determine how long the project will take you to complete in-house, then juxtapose that to the efficiency of having it done quickly. Let’s say you’ve been tasked with completing a risk assessment, and you believe it will take 100 hours to complete.  Assuming you have other tasks and priorities, that task could take you three months to finish. If you have a professional consultant come in, it could be done in one month or less, which will give you more time to implement the recommendations and controls. By getting the project done by using a dedicated outside source, you can use your time to complete the implementation and get the risk under control more quickly. Click to Tweet

How to Make the Most of My Compliance Conference

When you’re at a conference, do you avoid eye contact with the vendors in the exhibition hall?  Do you try not to engage? Maybe you don’t want to be bothered, or you don’t have budget for whatever they’re selling. When you’re in the exhibit hall, try to speak to each of the vendors that has a product you might use in the future. Why? First, when you see new technology or a vendor offering a service that can make your job easier or more efficient, you can take this information to make a case for the service within your organization.  Second, if you get budget the following year or join a new organization, you can advocate for the technology or service. If you don’t talk to the vendors, you don’t know the help they can offer.  Click to Tweet

What to Name My Company's Whistleblower Hotline

There are many names for whistleblowing hotlines, but depending on your company’s culture, one may be much better than another. Whistleblower hotlines can be called just that, or you may prefer variations such as the ethics helpline, speak-up line, compliance line or team member tip line. Whatever you call it, be sure it matches the culture of your business so it is accepted. Test the name out with people in different regions or with a poll on your internal networking site or intranet. Go with something that most people like and are willing to use. Click to Tweet

How to Improve My PowerPoint Presentations

Too many trainings and presentations suffer from a common problem: too much information on the slides. When the practitioner has lots of information to share, it can be comforting to put everything on the slides. When the practitioner realizes that there is too much information and he or she won’t get through the slides in time, the practitioner skips through the slides during the presentation, leaving the audience frustrated that they didn’t hear the information, and the presenter flustered as he or she tries to finish on time. Instead of putting all of the information in the slides, try adding an appendix to give additional information that you won’t cover in the slides. By telling people that there is an appendix with additional information and then sharing the slides, you’ll be a better presenter while still giving people the information they need. Click to Tweet

How to Prepare for a Panel Discussion

If you’ve been asked to be on a panel, it sometimes feels like you don’t need to prepare.  After all, you’re simply going to be asked about your experience, right? While it’s true that you’ll be asked questions about your experience, it’s best to plan a couple of stories to illustrate your points. Let’s say you’re on a panel about effective training. Take the time to recall two or three stories that you can share on the day. Try to make them funny or cautionary, as that will make them memorable. A little preparation can make a big difference when it comes to panel discussions. Click to Tweet