Compliance Communicator’s Questions of the Month

February 24, 2016 — Q. I’m not sure my team thinks I’m willing to work with them to address ethical dilemmas–I think they’re nervous about coming to me with problems. How can I be more approachable?

If you demonstrate that you truly have an open door by being available and that you will listen calmly and objectively to their issues, it will go a long way to improving your approachability. You didn’t mention how you react when someone brings an issue, but bear in mind that an emotional reaction will become legend in your group and your staff will understandably become nervous. Remember to tell them—often—that you are there to help them succeed and helping them with problems is an important part of your responsibilities. Then live up to your words.

Q. I have not been on top of some behavioral issues among some of my team members. Now, the issues have grown and spread, and it feels like there is a culture of rule-breaking on my team. What should I do?

Recognizing that you have a culture issue is a great first step to addressing the root cause of misconduct. There are many possibilities for correcting the situation. Contact the ethics and compliance office to discuss options on how to best address the issue. They may suggest some short, in-person compliance training; or they may want to conduct a culture assessment of your team to diagnose and correct any minor issues that could become major if left unchecked. The E&C team is here to help your department get back on the right track.


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