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We all get our inspiration from different places. As you will see, country music can support some of the best themes that we can establish as compliance professionals. The titles of some of the more popular songs evoke all sorts of interesting parallels with what we confront in the compliance world every day. For example:
1. Famous in a Small Town, by Miranda Lambert The theme of this song is that word gets around quickly in a small town. Your organization’s setting is probably no different, regardless of its size. In the compliance realm, word gets around quickly (and sometimes not accurately) about what the compliance professionals are doing, what the management commitment is to compliance, and whether you are “walking the walk.”
2. Friends in Low Places, by Garth Brooks Remember that all sorts of people, up and down the ladder, can cause compliance headaches if they are not given the proper respect, attention, and follow-up. Successful compliance professionals bond with as many folks in their organization as possible.
3. The Gambler, by Kenny Rogers The first message here, from this lawyer’s perspective, is know when to stop an investigation or audit process and consider establishing attorney-client privilege or work product protection under the auspices of counsel. Sometimes compliance professionals or consultants delve too far into an issue without considering the legal and risk implications of proceeding. This does not mean that every compliance investigation or process should be shrouded in confidentiality. It does mean compliance professionals should exercise sound judgment about when to “fold ‘em” and involve counsel.
4. Funny How Time Slips Away, by Willie Nelson Compliance processes, and investigations and remedial steps in particular, always seem to take longer than everyone anticipated. In order to prevent slippage, compliance professionals should have detailed work plans for any significant projects or investigations. These work plans specifically should have assigned accountability and set deadlines.
5. Ace in the Hole, by George Strait Compliance officers have “several aces in the hole.” The first one is their organization’s code of conduct and compliance program. The second one is the commitment of management and the governing body to do the right thing. The third is government guidance on particular issues.
Compliance officers can use such guidance to help convince their colleagues that the compliance officer is not blowing a situation out of proportion but rather that the government has certain expectations. The third one is the ability to ask people who are resisting doing the right thing what they see as the alternative. This approach can often lead to a more appropriate outcome.
6. My Give a [Darn’s] Busted, by Jo Dee Messina As a compliance professional, you might hear all sorts of rationalizations for questionable conduct. Many of us also have heard the compliance department called the “revenue prevention department,” the “deal killers,” or the “cops.” This is not usually helpful or accurate but rather a way of attacking the messenger or obfuscating the real issue. While you have to be patient and polite, that does not mean that you have to buy into these approaches. Say to yourself, “My give a darn’s busted.”
7. Invisibly Shaken, by Rodney Atkins This one is simple. Being a compliance professional is a tough job. You hear lots of challenging things on a daily basis. Never let them see you shaken.
This article is available in full at thecomplianceblog.com.
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