Once the Code of Conduct, policies and procedures are in place, the focus shifts to effective training of employees and collaborators. Without training and comprehension, the Code, policies and procedures are likely to provide a false sense of security.
Leadership should schedule regular training, either live or remote, and keep track of training records. Parallel engaging communications from leadership flagging the importance of compliance in the organization’s day-to-day operations is paramount to reinforce the concept that success comes from doing good and doing well at the same time.
Frequently asked question: who is responsible for compliance training? The answer will depend in part on resources - if the organization has a well resourced compliance team they will likely take the lead in designing courses. In a less well staffed organization it may be a combination of lawyers and managers. Either way, it is important that subject matter experts are involved in creating the training in order for it to be on point and engaging. This also sends a powerful message - compliance is “owned” by everyone, not only those with compliance responsibilities in their job descriptions.
One of the greatest challenges organizations face is creating and maintaining positive attitudes across the organization towards compliance. So, how do we get everyone in an organization to appreciate that there is “only one boat and we are all in it”? There are multiple elements that make up a supportive culture, including the “tone at the top” and “walking the talk”. But success also requires a coherent and sustained campaign - a single memo from the CEO will not cut it.
Think about surveys for example, to create a baseline and identify the attitudes you need to prioritize. Create engagement opportunities such as Town Halls and view every interaction as an opportunity to win a vote for Compliance. There is, of course, much more to building a campaign, but fundamentally this is about making a compelling Case for Compliance and eradicating the negativity which can undermine an organization’s future.
To sum up: train, talk, engage, measure and own. These are key steps on the path to compliance success.
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