10 ways to cultivate a compliance culture - hcca official site · 1/22/2016 4 7 #2 way to cultivate...
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1/22/2016
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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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