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Will You Add? - The Compliance Officer's Killer Application
Five Steps to a Terrible Meeting
Many people view meetings for any purpose as a necessary evil. Others think they are not necessary - just evil! Both points of view reflect the reality that most meetings are run poorly.It takes a special individual to manage a truly terrible meeting. Do you recognize yourself (or your boss) in the following behaviors?Here are five guarantees of a disastrous meeting:1. Do not plan.Throw the agenda together just before the meeting or even at the start of the meeting. Why think through what you want to accomplish until you have to? Why give others time for preparation? Why worry about the order and time to give to each agenda item? Let conversation flow wher
sure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.Many people view meetings for any purpose as a necessary evil. Others think they are not necessary - just evil! Both points of view reflect the reality that most meetings are run poorly.It takes a special individual to manage a truly terrible meeting. Do you recognize yourself (or your boss) in the following behaviors?Here are five guarantees of a disastrous meeting:1. Do not plan.Throw the agenda together just before the meeting or even at the start of the meeting. Why think through what you want to accomplish until you have to? Why give others time for preparation? Why worry about the order and time to give to each agenda item? Let conversation flow wher
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Complianc
Defining Online Branding-Part 2
The Web is an open scene for a Global audience. You buy online, communicate, socialize, study, and have fun. You search for information, you compare, you think and you make a decision. You have access to that book you need faster than offline, you can make better purchasing decisions, and you can even become famous in a matter of days: all you need is a good story, a “digg” and… that’s it!Online branding is indeed a challenging process, because, guess what: you are not the only one doing it. At the same time, as you “consolidate and communicate” your brand in a creative manner, another online entrepreneur employs the same online tools to reach the same goals: gain customers’ awar
It used to be that only the largest multi-nationals needed a Compliance Officer. Today most practices, regardless of size, would be wise to charge someone within their organisation with the responsibility of keeping abreast and managing the compliance process.The Web is an open scene for a Global audience. You buy online, communicate, socialize, study, and have fun. You search for information, you compare, you think and you make a decision. You have access to that book you need faster than offline, you can make better purchasing decisions, and you can even become famous in a matter of days: all you need is a good story, a “digg” and… that’s it!Online branding is indeed a challenging process, because, guess what: you are not the only one doing it. At the same time, as you “consolidate and communicate” your brand in a creative manner, another online entrepreneur employs the same online tools to reach the same goals: gain customers’ awar
Take as an example European employment law that has been introduced over the last few years that has changed the face of European businesses. Small businesses in particular are finding that a casual and informal approach to employment issues can now result in statutory fines that have no bearing on the financial health of the individual company and could, without as much as a by your leave, directly result in the demise of a company.
Small to medium businesses do not often have the luxury of employing a full time Compliance Officer and although larger organisations can afford a dedicated person they are finding that with compliance issues mushrooming the Compliance Officer now has a team, a department and if not already, how long before compliance becomes a division?
Regardless of size, the first step in compliance for any organisation requires them to identify the areas of compliance that are applicable to them. Rules and regulations are being introduced monthly on a local, regional, national and international level, covering everything from data protection and freedom of information, anti-money laundering to environmental waste control, race relations to health and safety; with ignorance being no defence there is a requirement on the individual businesses to know their responsibilities, and fines for those that wait to be told.
Having identified the areas of compliance the company then needs to understand what they need to do to ensure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Complianc
Turbocharge Your Business with Exceptional Business Courtesy
I am particularly interested in what separates the top 1% of business professionals, income-earners and producers from the other 99%. My job, as your coach, is to bring the distinctions I make to your attention so you can create a superior quality of business, thereby ensuring your current and future success!One of the things I've noticed is that the top 1% has a level of business courtesy others simply do not. I'm talking about the level of expectation that is created in the beginning of a new client relationship, response time (to phone calls, emails, and informational inquiries), and the amount of focus and attention given and received when in direct contact with clients and ass
lar are finding that a casual and informal approach to employment issues can now result in statutory fines that have no bearing on the financial health of the individual company and could, without as much as a by your leave, directly result in the demise of a company.I am particularly interested in what separates the top 1% of business professionals, income-earners and producers from the other 99%. My job, as your coach, is to bring the distinctions I make to your attention so you can create a superior quality of business, thereby ensuring your current and future success!One of the things I've noticed is that the top 1% has a level of business courtesy others simply do not. I'm talking about the level of expectation that is created in the beginning of a new client relationship, response time (to phone calls, emails, and informational inquiries), and the amount of focus and attention given and received when in direct contact with clients and ass
Small to medium businesses do not often have the luxury of employing a full time Compliance Officer and although larger organisations can afford a dedicated person they are finding that with compliance issues mushrooming the Compliance Officer now has a team, a department and if not already, how long before compliance becomes a division?
Regardless of size, the first step in compliance for any organisation requires them to identify the areas of compliance that are applicable to them. Rules and regulations are being introduced monthly on a local, regional, national and international level, covering everything from data protection and freedom of information, anti-money laundering to environmental waste control, race relations to health and safety; with ignorance being no defence there is a requirement on the individual businesses to know their responsibilities, and fines for those that wait to be told.
Having identified the areas of compliance the company then needs to understand what they need to do to ensure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Complianc
Are Your Strengths Under Control?
I first learned of this particular concept of strengths and excesses in the context of annual performance appraisals. Periodic performance feedback, coupled with an annual performance appraisal, is an integral part of a well-run business. Honest appraisals which inform the employee of his or her development needs are critical to helping the employee improve. They also help the business improve because its employees are improving their performance. It’s a “win-win” proposition.Unfortunately, not all appraisals are honest. The one for the outstanding employee is easy to conduct and is a pleasure. The one for the marginal employee can be difficult because the discussion can become argum
on they are finding that with compliance issues mushrooming the Compliance Officer now has a team, a department and if not already, how long before compliance becomes a division?I first learned of this particular concept of strengths and excesses in the context of annual performance appraisals. Periodic performance feedback, coupled with an annual performance appraisal, is an integral part of a well-run business. Honest appraisals which inform the employee of his or her development needs are critical to helping the employee improve. They also help the business improve because its employees are improving their performance. It’s a “win-win” proposition.Unfortunately, not all appraisals are honest. The one for the outstanding employee is easy to conduct and is a pleasure. The one for the marginal employee can be difficult because the discussion can become argum
Regardless of size, the first step in compliance for any organisation requires them to identify the areas of compliance that are applicable to them. Rules and regulations are being introduced monthly on a local, regional, national and international level, covering everything from data protection and freedom of information, anti-money laundering to environmental waste control, race relations to health and safety; with ignorance being no defence there is a requirement on the individual businesses to know their responsibilities, and fines for those that wait to be told.
Having identified the areas of compliance the company then needs to understand what they need to do to ensure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Complianc
Travel Light to Work
As a frequent traveler, my goal for each trip is to travel light. Despite thoughtful planning, sometimes that goal is shattered when I go to close the suitcase and realize I need a larger, or even second one. I can't always get my packing right and end up taking more than I need. When that happens it's frustrating. I hate lugging extra baggage and feeling encumbered.Work is like that, too. We often bring too much baggage. It may not look like baggage, but it weighs us down just the same. It's disguised as past relationships with bosses; previous work experiences; mind-talk about whether we can or can't do something; how we've been treated in work (and life), or how we think we have.
evel, covering everything from data protection and freedom of information, anti-money laundering to environmental waste control, race relations to health and safety; with ignorance being no defence there is a requirement on the individual businesses to know their responsibilities, and fines for those that wait to be told.As a frequent traveler, my goal for each trip is to travel light. Despite thoughtful planning, sometimes that goal is shattered when I go to close the suitcase and realize I need a larger, or even second one. I can't always get my packing right and end up taking more than I need. When that happens it's frustrating. I hate lugging extra baggage and feeling encumbered.Work is like that, too. We often bring too much baggage. It may not look like baggage, but it weighs us down just the same. It's disguised as past relationships with bosses; previous work experiences; mind-talk about whether we can or can't do something; how we've been treated in work (and life), or how we think we have.
Having identified the areas of compliance the company then needs to understand what they need to do to ensure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Complianc
How to Make Loyal Employees, Keep Them and Make Them Happy
Let me make it clear and simple for you, if you don’t believe that people/humans (employees) are the most important resources in your business, your business will be doomed to failure. You will find yourself working in your own business without anybody’s help for a long time.Yes, your employees are people, they are humans and you want to talk to them like they are people (human), you want to treat them with respect like you give respect to a human being, they want to be appreciated and recognized for their accomplishments, they want to be accepted and feel like they are contributing to the success of your business or organization.As a business leader, you probably already lea
sure they comply. It is becoming conceivable that with the shear volume of compliancy issues that companies who can show a good faith effort in complying will, even when they fall short, reduce the risks of fines.Let me make it clear and simple for you, if you don’t believe that people/humans (employees) are the most important resources in your business, your business will be doomed to failure. You will find yourself working in your own business without anybody’s help for a long time.Yes, your employees are people, they are humans and you want to talk to them like they are people (human), you want to treat them with respect like you give respect to a human being, they want to be appreciated and recognized for their accomplishments, they want to be accepted and feel like they are contributing to the success of your business or organization.As a business leader, you probably already lea
Having identified and understood the compliance issues the Compliance Officer needs to define and implement policy and disseminate the information throughout the organisation.
It is important for the Compliance Officer that they do not inadvertently become the company's patsy. Senior managers are not averse to ignoring the internal memos they receive advising them of their responsibilities. Compliance Officers need to deliver their messages up and down the corporate food chain and record that their advice and directives have been received and more importantly understood.
The Compliance Officer has to avoid becoming the company scapegoat. This won't happen by itself, a sales team that has a long history of success though a relaxed attitude to selling is not going to willingly adopt new, and what they will see as restrictive, practices without a fight. 'I didn't get the memo', 'I didn't understand it', 'I thought it meant something else', 'I thought these were only guidelines' are likely to be stock replies, along with the one or two old timers that didn't think compliance issues applied to them. It used to be a safe bet to blame IT, blame Compliance is rapidly taking its place.
One valuable tool in the Compliance Officer's tool box is the online survey and questionnaire.
The online survey can deliver a message internally to the individual; it can be informative like a memo and educational by referencing detailed policy. Importantly it can become a valuable self registering record that confirms that the information has been properly disseminated and understood.
A single survey question can achieve all these objectives at the same time.
Take an example:-
Are you aware that section 45 of the Companies (Auditing and Accounting) Act 2003 imposes an obligation on directors of certain companies to prepare statements on their company's compliance with its relevant obligations?
(Click
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