Effective Compliance: Communicating the message across the business

Effective Compliance: Communicating the message across the business

gamificationSo, you have a compliance program and you’ve achieved senior executive buy-in – you hope. But what is the key to successfully communicating that message out to your employees or agents in the field?

This topic was central to a lively discussion at Legal Leaders GC (LLGC) compliance conference in March, for which LexisNexis was the headline commercial partner.

While the conference panels and delegates agreed that ‘tone from the top’ is important (ok, let’s agree essential), ensuring that all employees are wholly aware of their ethical and legal obligations is never that one dimensional.

The right business model

Taking one step back, before you work out how best to actively deliver the compliance message, it is worth considering your company’s underlying framework and culture.

If you’ve ever been to John Lewis on a busy Saturday, you will notice that the shop floor is usually kept immaculate, despite the same amount of clothes and litter being dropped on the floor as in other stores. The reason, pointed out LLGC panel member Peter Neville Lewis, founder of Principled Consulting, is that within John Lewis’ business model, employees are collectively invested in and responsible for the delivery of its customer services.

Neville Lewis said: “One simple answer is to find the right business model. If you asked John Lewis how many people are involved in risk management, the answer would be ‘all of them’.”

The corporate personality

Much as with any important message, it’s no use just thinking about what you’re going to say and not ho

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About the author:
Sophie Gould is the Head of Lexis®PSL In-house. Sophie worked as an in-house lawyer for 10 years including seven years as Head of Legal for Virgin Radio and Ginger Media Group. She has also run a legal risk and compliance training business.


Since joining LexisNexis in 2009 Sophie has worked on developing our legal and business content for the in-house legal community.  She also runs various networking and mentoring groups for in-house lawyers and works with schools to promote social mobility within the legal profession.