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Improving your compliance strategy

Tom Fox | May 29, 2018

Communicating your compliance strategy can be a critical problem when operationalizing compliance, because operationalizing compliance is usually perceived as a top-down exercise. The reality is that the employee base that must execute the compliance strategy is often not considered. Even when there are comments from employees on compliance initiatives, they are often derisively characterized as “push-back” and not taken into account in moving the compliance effort forward.

It can be difficult for an employee base to implement a strategy that they do not understand—even with a company-wide training rollout, followed by e-mails from headquarters and periodic reports back on results. There are too few communications, and most are one-way. Companies need to make sure they have robust communication, and the tips below can help with that effort.

(1) Work with the HR department to come up with appropriate financial incentives. A bonus can send a powerful...

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