Keeping Companies Out of Trouble


I am at the Dow Jones Global Compliance Symposium today. I will recap major sessions here.

In response to “What are you doing to keep your company out of trouble?”, here are some highlights I thought you all would find useful.

Anna Itoi, Google:

1. Know your audience: bottoms-up engineering culture. Explain laws and consequences in very logical and real way, not in concepts. And, while many systems at Google are very automated, compliance training is very hands on.

2. Provide real-time input to compliance questions: Code of conduct email address (alias) peopled by lawyers for a day-to-day proactive response.

3. Start with thorough a hiring process with ethical overtones.

4. Don’t be too proud: You are only as good as last education and training.

5. Live where they live: Social networking on mobile devices can have unintended repetitive consequences. However, you can use some of the new compliance apps, like Click4Compliance to stay front of mind with these same employees.

Jean-Daniel Laine, Alstom–100,000 employees, $23B euro company in 70 countries:

1. Tone from the top: They have hired French military and people from the UK Serious Fraud Office

2. Full dependence and authority

3. Program with content and implementation.

Teri McClure, UPS–400,000 employees in 200 countries:

1. Trust and integrity are woven into the culture every day. They have everyday activities of caring for others’ belongings, including medical supplies.

2. Use a small, hand-held blue policy book that is living, signed and carried around.

Compliance can no longer be a top-down, once-a-year endeavor. Any other great ideas to weave compliance into your daily activities?

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One response to “Keeping Companies Out of Trouble

  1. Pingback: From Policy to Behavioral Change: 4 How-Tos from ex-AIG CCO | Good Promotional Practices

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