Compliance planning can create an excess of “what if” situations. Take these unique scenarios and use them to drive the compliance conversation forward. These discussions will increase preparedness for unique compliance circumstances, while creating room to dissect possible future issues. Set aside time for interactive workshops, and assign leaders to guide the discussion in a productive direction.
The compliance conversation is an ongoing one and it can be most effective when not in response to an actual incident. Keep some compliance talking points ready and embed them into staff communications to keep the conversation alive and active.
Motivate your middle management towards greater compliance through leader newsletters delivered on a regular basis. While open discussion is productive, direct tips and suggestions can be just as (if not more) helpful. A newsletter is a simple method to keep managers up-to-date on new compliance initiatives, and can also serve as a reminder of existing processes.
Include compliance-focused sessions on major issues in forma middle-management training, including topics such as the specifics of issue escalation in the company. This process will help foster a compliance-oriented culture and minimize future compliance issues.
Compliance assistance can come from all parts of your company. Encourage your fellow chief executives to embed a compliance message within their middle management.