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Shop Talk: Strengthening the Tone From the Middle

Jaclyn Jaeger | August 12, 2014

Any good compliance officer knows the valuable role middle management plays in shaping a strong culture of ethics and compliance. How to work with them to achieve that objective, however, is a different story.


Traditionally, mid-level managers haven’t played an integral role in fostering a culture of ethics and compliance within their companies. Only in the last few years has that mindset begun to change, explained Kirsten Liston, associate vice president of learning content strategy at SAI Global, during an executive forum co-hosted with Compliance Week last month in Chicago. “We hear more compliance officers saying, ‘the business owns the risk,’” she says.

During the discussion, a dozen compliance, ethics, and internal audit executives spoke of the problems they encounter, as well as the solutions they employ to engage mid-level managers in becoming advocates for the ethics and compliance program.

Many of the executives agreed that...

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