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CaraMerski,ChiefComplianceandPrivacyOfficerandMeghanColozzo,AuditandPrivacyManager

10WaystoCultivateaComplianceCulture

PresentationObjectives

• Focuson10simplebuteffectivestepstogroundyoureffortsatyourorganizationtowardscultivatingacultureofcompliance.

• Identifythe10easyactionsteps(Challenge,Rewire,Writeout,Stop,Develop,Focus,Create,SeekReinforcement,Find,andRead)toorganizeandprioritizeyourvisiontoensuregrowthinleadership.

• Identifythecharacteristicsofaneffectiveleaderandunderstandyourleadershipstyle.

• Understandthemeaningofmotivationandovercomebarrierstomotivation.

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WhatdoesaComplianceOfficerdo?

To practice the art of compliance, you have to understand the business you are in and determine how best to communicate the value of compliance to

your stakeholders.

The art form is built on the foundation of rules, policies and regulations.

Compliance should be integral to programoperations and corporate culture.

Ask yourself, “Are you making a meaningfuldifference in your organization?”

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ComplianceLessons

“Even if you’re on the right track, you’ll get run over if you just sit there” 

Will Rogers

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ItisReallyallaboutyou.

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ForYou.ForThem..

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#1WaytoCultivateaComplianceCulture

#1:Challengeyourorganization’sthought

Identifythenon‐compliantbeliefswithinyourorganization.

Challengethebelief. Thecomplianceteam Theexecutiveteam Top,Middle,Bottom

FindexamplesorevidenceofSUCCESS(s)againstthenegativefeelingsofchange.

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#2WaytoCultivateaComplianceCulture

#2:Rewirethepathwaysofworkingknowledge

Negativitytowardscompliancebecomesahabitingrainedinyourcoreleaders.

Youneed10Xtheintentionalremindersofnewandpositivethoughtsaboutyoursevenelements.

SMILE

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#3WaytoCultivateaComplianceCulture

#3:Writeoutyourcompliancegoals

Large,undeniable,clearletters—writtenandpostedwhereyouwillbesuretoseeit.

Sharethelistwithasmanypeopleaspossible.

SetthegoalsintoyourAnnualWorkPlan,3YearPlanand5YearPlan.

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#4WaytoCultivateaComplianceCulture

#4:STOPtheisolation

INTERACT(daily,weekly,monthly)

Spendtimewithotherpeopleinyourorganization.

Forceyourselftogotoeventsandgetoutwiththeshakersandmoversofyourworkplace.

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#5WaytoCultivateaComplianceCulture

#5:Drawlinesofappropriateboundaries

Youarenotgoingtobea“people‐pleaser.”

Bea“Super‐Server”ofSkills.

Neverletotherscontrolyourdecisionsorbehaviors.

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#6WaytoCultivateaComplianceCulture

#6:Createacompliancevision

DeveloptheComplianceProgramexactlythewayyouwantittorun.

Putitinwriting.

Liveit.

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#7WaytoCultivateaComplianceCulture

#7:Focuson—”RIGHTNOW”

Fromyourvision,youneedtopulloneortwoitems.

Focusonthetaskathand.

Youcan’tworrytoomuchaboutthefutureorregretthepast.

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#8WaytoCultivateaComplianceCulture

#8:Challengeyourfearsandembraceafailure

Seehowafailurehasservedyouinagoodway.

Whatdidyoulearnandhowhastheexperiencebeenkindtoyou?

Mostimportantly,knowwhenyouneedhelp. SeekReinforcement

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#9WaytoCultivateaComplianceCulture

#9:FindaMentor

Identifysomeonewhoinspiresyouandmotivatesyou.

Usesomeprovenmethodsofengagement.(AIDINC)

Learnabouttheirlivesandhowtheygottowheretheyare.

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#10WaytoCultivateaComplianceCulture

#10:Read,Read,andRead.

MotivationalBookstokeepyou“juiced”up.

On‐lineBookClubs/peergroups.

Compliancematerials.

ComplianceLeadersneedtoMotivateandInfluence

Youjustknowthe“GreatOnes”whenyouseethem.

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BasicStylesofLeadership

AuthoritativeStyle Clearaboutwhatshe/heisdoingandwhy

Instillsclarityinher/hisfollowers

Concludestheendresultandleavesthechoiceofmeanstoher/hispeople

“Comewithme.”

Example:Openforgroupdiscussion

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BasicStylesofLeadership

AutocraticStyle Retainsallauthorityanddecisionmakingpower(Dictatorship)

Willnotacceptsuggestions—Noconsiderations

Instructsonwhattodoandhowtodoit(Leader’swordislaw)

“DowhatItellyou.”

Example:Openforgroupdiscussion

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BasicStylesofLeadership

CoachingStyle Helpsemployeesidentifywheretheyhavestrengthsandweakness

Notafraidtohandoutchallengingassignmentsorprojects

Alignsemployeesforsuccess

Encourageslongtermdevelopment

“TryThis.”

Example:Openforgroupdiscussion

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BasicStylesofLeadership

DemocraticStyle Getsher/hisideasfromher/hispeople

Involvesemployeesatlevelsindecisionmakingprocess

Createsatrustingenvironment

“Whatdoyouthink?”

Example: Openforgroupdiscussion

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BasicStylesofLeadership

PacesettingStyle Leadbyexampleofworkinghard

Setshighstandardsandadherestothem

Passionateaboutgoalstoincreasequalityandproductivity

Perpetuatesanattitudeofeitherperformorleave

“DoasIdo,Now!”

Example: Openforgroupdiscussion

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BasicStylesofLeadership

BenevolentStyle Keepsemployeeshappyandinharmony

Ensuresbettercommunications

Peoplerelationshipbuilder

“Welldone.Nowlet’smoveeveryonetothenextlevel.”

Example: Openforgroupdiscussion

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Stylesvs.Application

Howwelldoesyourstylefitthecontextofanygivensituation?

Youmayhavetochangestylestobeeffective.

Thinkaboutadifficultorchallengingsituation.Howdidyourstyleplayarole?

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MethodsofMotivation

Everyleadermustdevelopmotivationalskills BasicRules

oBeMotivatedYourselfoTreateachpersonasanindividualoCommunicate,communicateandcommunicateoSetrealistandchallengingtargetsoRememberthatprogressmotivatesoProvidefairrewardsoGiverecognition

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