Reporting compliance issues can be a complex problem for both frontline employees and compliance practitioners. In today’s episode, Tom talks with Philip Winterburn, the co-founder and Chief Product Officer at Convercent – a Denver, Colorado-based compliance software company.

  • Before diving into today’s episode, Tom relays a message from Convercent – who are this week’s sponsor – about their compliance conference located in Broomfield, Colorado called Converge 18.
  • Take note! Listeners of Innovation in Compliance will receive a 50% discount on their Converge 18 registration free by using the discount code “TOMFOXVIP”.
  • When it comes to employee engagement, what kinds of KPI’s does Philip look for? Tom asks Philip to give us an idea of what kind of benchmarks he keeps his eye out for when trying to boost reporting rates for employees.
  • How have Convercent’s efforts manifested in the compliance arena? Tom asks about whether Convercent has seen an increase in report rates and Philip talks the benefits of engaging employees at a deeper level with when it comes to high-risk cases.
  • A higher reporting rate among employees is no doubt a good thing but does it mean something more? Tom asks Philip about the connection between reporting and employee-organization trust. Philip offers some insight into this issue by exploring the concept of anonymity rates in reporting.
  • Simply closing a case might not give you the whole picture of an event, especially when some form of retaliation is likely to occur. Philip talks about the importance of a reasonable case closure timeline and why working to keep your average low is beneficial to your compliance program.
  • Retaliation against those who report compliance violations is a critical issue that if handled incorrectly, can adversely affect employee trust in a serious way. Philip talks about some of the challenges to solving this issue.
  • Beyond the data of reporting, retaliation or case timelines, the effectiveness of your employee engagement framework will likely come down to the culture of the workplace. Philip talks about why this is a key part of the reporting and whistleblowing process and reminds us not to lose sight of the humanity of those taking on risk when reporting compliance issues.

If you’re a compliance professional looking for a convenient and effective way to fulfill your continuing education requirements, go to and choose from 4 hour-long training packages that will keep you up to date with the latest developments in the compliance field.

Converge18 Conference

Make plans to attend Converge18 and listen as Phillip goes deeper into what you’ve heard in this episode. The conference also has a fantastic agenda for Ethics and Compliance leaders, Legal professionals, human resource leaders, and C-Level leaders. There’s 18 breakout sessions, 12 roundtables, 5 general sessions, 2 keynotes, and an inspirational speaker.

Make sure to use the code, TOMFOXVIP,  to get a great discount on this year’s Converge18!