The Pillars of Compliance

Once organizations work towards developing a culture of compliance, it is imperative that they continuously monitor the evolution of the culture. In the long run, this would prove to be more helpful if organizations encouraged a comprehensive culture of compliance instead of simply having employees who ‘know’ the rules and policies. A culture of compliance manifests itself through the actions and behavior of well-informed employees.

Impactful compliance programs may be considered to be a combination of:

  • Interventions that create awareness of what encompasses compliant behavior
  • Interventions that allow employees to demonstrate the compliant behavior based on the acquired knowledge
  • Interventions that act as reminders to help employees embody and sustain the compliant behavior as part of daily routine

All in all, the 3Ps of compliance include the following aspects:

Principles: The guiding principles of an organization in terms of its core values and code of conduct could form an effective base for its compliance programs. Employees could progress well by clearly knowing what the organization does, what its goals and mission are, and the values it believes in to achieving its goals.

Policies and Procedures: Organizations could work towards developing their own internal compliance policies and procedures – whether for government-imposed regulations or legal requirements.

People: Compliance programs that are designed to bring about a change in culture or behavior are directly beneficial to the people of the organization, including employees at all levels, as well as the senior leadership and management teams. How employees conduct themselves and deal with their customers directly impacts them as well as the organization. Compliance programs would therefore prove to be more effective and relatable if they consider the importance of people-centric policies.

In our new eBook, we look at how to handle each of these pillars of compliance according to the expected behavior associated with them.

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