Corporate compliance programs tend to maintain strict control over their communications. We prefer to act
independently of other areas in the organiza-
tion, except maybe a final legal review for our
records. We remain subject matter experts and
deliver precise and friendly training
to our audiences.
Many corporate compliance
programs are smaller or even a
one-person department, typically
much smaller than other areas in
a large organization. Learning &
Development (sometimes referred to
as Training and Education) is often
part of Human Resources, as in my organiza-
tion; and if it is a stand-alone department, it is,
at the very least, linked with manager commu-
nications and leadership development.
This is a ready-made resource for your
compliance program, whose budget often is
devoted to investigating potential breaches
and violations and keeping current in a
sometimes harsh regulatory landscape.
Additionally, compliance staff training at
conferences is required to keep up certifica-
tions, which can eat into your already tight
budget. Your compliance program will save
money and effort by joining with an existing
Learning or Training department to synchro-
nize efforts and be more effective in delivering
content in response to an issue. Element 4 in
Measuring Compliance Program Effectiveness:
A Resource Guide provides additional details
regarding effective organizational compliance
training and education.1
Even when you have training resources
in your budget, a high-risk need may become
identified through a hotline report or internal
investigation. A surprise regulatory rollout,
such as the Section 1557 Non-discrimination
Provisions of the Affordable Care Act, may
be issued that requires immediate training
across the entire organization. You do not
need to reinvent the wheel or hire additional
resources each time a large training need
presents itself. If you have identified a training need, work with an established internal
by Marla S. Berkow, CHC
Partner with Learning &
Development to save resources
» Learning is corrective and preventive and helps impact behavior.
» Educating in response to violations coaches and develops employees’ self-confidence for making future decisions.
» Learning is established in most organizational leadership development infrastructures.
» Many corporate compliance issues should be treated as teachable moments.
» Training departments have an existing communication infrastructure and resources.
Marla S. Berkow ( email@example.com) is the Corporate
Compliance Officer and Privacy Officer for Gateway Foundation, Inc. in
Chicago, IL. bit.ly/in-MarlaBerkow