Introduction
Building a culture that’s rooted in compliance and yet engaging cannot be accidental, and require some careful planning. Whilst there are numerous factors to consider, I will focus on three critical factors that in turn will influence various underlying factors.
The Right Candidate
First of all, recruiting the people with the right mindset is important. Simply getting the candidates to confirm that they would comply with the organisational policies and procedures is not sufficient, as I have never seen any interview candidate refusing to comply at the time of the interview. What’s best is to have assessment day as an important stage of recruitment where candidates are vigilantly vetted on the basis of their willingness to pay attention to the compliance matters.
Those passing such a vetting stage are much more willing to be compliant and least likely to resist when there are changes in the compliance. In contrast, you could hire a person purely on their ability to do the job. With all the right qualifications and experiences, they could still pollute the work environment if they think they are above the system and can override certain protocols as they deem fit.
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Set The Right Example
Once individuals with the right mindset are recruited, the second most important thing to do is for senior managers and leaders to set the right example. Once the message from the top level management is very clear that compliance is critical to the success of the organisation and no one is above the system, the HR department won’t have to work too hard to do their job of training and developing the team to meet the organisational objectives.
Delegating Compliance To Managers
Lastly, many organisations make the mistake of delegating compliance to managers who might be very good in leading their function but not very well trained to design, maintain, implement and revise controls. Compliance falls under the discipline of risk management and there are specialist qualifications that train individuals to manage compliance risk.
There are programme offered by Institute of Risk Management, but I personally prefer CIMA P3 Risk Management passed candidates to oversee compliance. Having a qualified compliance manager will result in many benefits. Firstly, people are more likely to follow the controls when the controls have been designed by someone exceptionally qualified to do so. Secondly, these controls are more likely to be effective and yet not excessive, meaning that individuals won’t find the excuse of ignoring a control because it was “pointless”.
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Conclusion
Furthermore, a qualified person would also be able to identify risk of non-compliance and be proactive in putting further measures in place to deter non-compliance. Needless to say, this would also allow the managers and leaders to focus on their main job rather than panicking about individuals failing to comply with rules and regulations put in place for good reasons.
