The Human Resources and Compliance departments play a crucial role in building a healthy workplace culture to stay relevant and succeed.

Many organizations face significant structural deficiencies that fail to bridge the gap between Compliance and H.R. In terms of structure, most often, there is a failure in defining roles and responsibilities that tends to be confusing to the management, which looks inefficient or redundant.

Like a well-oiled machine, a company functions seamlessly if both H.R. and compliance functions are synched and compatible when power, resources, and procedures are strategically set without overlapping.

To further explore this underutilized program, I spoke with one of the unique people in the compliance space. An executive coach, strategic advisor, and keynote speaker described by Forbes as “one of the top coaches for legal and compliance executives.”

Amii Barnard – Bahn will add transparency as an H.R. professional to the compliance function to help accelerate compliance and legal executives’ success.

Major takeaways discussed in the episode:

  • Compliance officers should be aware of the Human Resource functions, like recruitment, employee annual life cycle, performance reviews, and compensation. Being involved in the process ensures that the company is getting the right people and ensuring strong ethical standards. If unchecked, conflict of interests is embedded even in the employment application that goes unchecked.
  • Set up a Helpline instead of a hotline which is friendlier and less scary. Doing so gives people the confidence to speak up comfortably, raise questions and report misconduct without fear. Encouraging transparency in the workplace creates a belief that the company takes action. More calls mean more confidence that organizational justice can be served.
  • Positional authority isn’t the way to go and will not be useful in the future workplace. The pandemic has shown how the dynamics have changed, and good leadership and influence skills will get things done. Compliance officers should be critical of this going forward.
  • Modern workers stay long in a company that they’re proud of and that they feel is doing good work. The compliance department should look at strategies and steps towards reaching out and connecting with their employees and participating if not taking a stand involving necessary and impactful causes.

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About Thomas Fox: 

Thomas Fox, the Compliance Evangelist®, is one of the leading writers, thinkers, and commentators on anti-bribery and anti-corruption compliance. In this latest edition of The Compliance Handbook, he continues to arm seasoned compliance professionals and those new to the realm with the practical, actionable guidance and tools needed to design, create, implement and continually enhance a best practices compliance program.

The “Nuts and Bolts” for Creating a Comprehensive Compliance Plan 

This chapter of this unique work lays out a succinct yet thorough one month approach to operationalizing a company’s compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, each chapter methodically outlines best practices for everything from establishing policies, procedures, and internal controls, to assessing risk, training, handling investigations, and more. Each day ends with three key takeaways you can implement at little or no cost.

Understanding Compliance Responsibility Across the Organization

The Compliance Handbook also takes a close look at all professionals’ roles with compliance responsibility, from Compliance Officers and Boards of Directors to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals.

In-Depth Treatment of Hot Topics and Trends

The Handbook provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:

  • Compliance and business ventures
  • Third-party risk management
  • The Board’s Role in Compliance
  • Continuous improvement
  • Compliance innovation
  • And much more

Incorporating Current Government Pronouncements

The Second Edition incorporates the most current government pronouncements governing best practices compliance programs, including the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division’s Evaluation of Corporate Compliance Programs in Criminal Antitrust.

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