How to Make Compliance More Accessible

Consider asking for the email address Compliance@[yourcompany].com. Many times people in the business can’t remember the name of their compliance lead, or they may have trouble spelling the name of the person. By having a generic compliance@ email address, you create a simple place for people to send compliance concerns. In addition, if someone leaves the business, the Compliance@ email address can continue, so you don’t have to re-print posters or other communication tools. Click to Tweet

How to Better Connect with Employees

Schedule time into your day to go to the break-room, water-cooler, lunch room or coffee area. Active engagement in small talk will help people to see that you are one of the team. It will also ensure that people feel comfortable talking to you, so they’re more likely to visit you when they have a compliance-related problem or concern. Click to Tweet

How to Get Employees to Help Identify Business Risks

A great way to get information for your risk assessments, and to keep your finger on the pulse of the business, is to ask everyone you meet the following question, “What do you think the biggest compliance risk is facing the business?” You’ll be amazed how quickly people tell you where the high-risk areas exist. You'll be astounded by the information employees will provide you with just by asking this simple question. By finding out what others think the risks are, you expand your understanding of the business and can better formulate plans for combating these risks. Click to Tweet

How to Say “No” More Effectively

When you have to say no, try to use it as a teaching moment. Explain to the business why you said no and highlight the policy or law that would be violated if you allowed the conduct to go forward. That way, the next time the business asks for approval, they will be more likely to think through the policy and law by themselves before the request gets to you, and you’ll be able to say yes more often. Click to Tweet

When to Ask for More Resources

If you’ve asked for resources like additional staff or a technology solution, only to be turned down, it can feel disheartening. Although it may be easy to sit back and accept defeat, try asking again during the next budget cycle. Don’t be afraid to ask for what you need once, twice, or even three times in a year. The decision-maker is likely to be affected by your continual call for their assistance. They say that the squeaky wheel gets the grease, and it’s true. By politely but determinedly asking for what you want, you are more likely to get it, even if it takes longer than you’d prefer. Click to Tweet