Tag: Ronnie Feldman

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Positivity in Compliance: Fostering a Culture of Collaboration

Maintaining a positive attitude in compliance programs is crucial for effective interactions and perceptions within the field. In a recent episode of ‘Creativity and Compliance‘ co-hosted by Tom Fox and Ronnie Feldman, the importance of positivity in compliance was discussed in depth. The episode highlighted how focusing on positivity can transform the image of compliance professionals from being seen as restrictive to being viewed as business enablers who collaborate with other departments to achieve ethical business goals.

One key aspect emphasized in the episode is the role of creativity and humor in enhancing communication, engagement, and behavior change within compliance programs. Compliance professionals can employ positive reinforcement strategies to drive ethical behavior and foster a more engaging environment by incorporating creative elements from everyday activities and infusing humor and positivity.

Leadership’s positivity, particularly from a Chief Compliance Officer (CCO), is a significant factor in influencing a compliance function’s overall tone and culture. An optimistic approach from the CCO can set the tone for the entire compliance team, encouraging collaboration and ethical behavior throughout the organization.

Whether you consider the compliance function of Debbie Downer or Dr. No from the Land of No, a corporate compliance function is often characterized by negativity and strict enforcement. It is seen as the Land of Business Non-Development. By shifting towards a more positive and solution-oriented approach, compliance professionals can reframe their role as facilitators of business success while upholding ethical standards. This change in attitude can improve the effectiveness of compliance programs and boost employee morale and engagement.

Quotes from the episode further emphasize the importance of positivity in compliance. “People like being around people that are positive, that are energizing, that are solution-oriented,” highlights the impact of positive interactions on employee engagement and relationships within the organization. Additionally, the quote, “The main evolutionary significance of humor is it gets us from the closed mode to the open mode faster than anything else,” underscores the role of humor in fostering a more open and collaborative environment within compliance programs.

This does not mean a compliance professional must walk around all day with a smile from ear to ear. It means a positive attitude towards working with others in your organization to accomplish goals. It all focuses on fostering relationships. What is your relationship with the business development team members, the finance department, HR, or any other corporate function? One of my favorite strategies is from Russ Berland. Buy pizzas for lunch. Almost everyone loves pizza, so it’s hard to go wrong with pizza for lunch.

Always remember that you want others in the organization to pick up the phone and call you, or if you are back in the office, to stop by and talk to you if they have questions. They are much more likely to do so if there is some personal relationship or connection. Louis Sapirman used to talk about planes, trains, and automobiles. In other words, get out of the corporate headquarters and meet employees where they work. They are, after all, your compliance customers. You might not be able to meet your employees in such a pre-pandemic manner, but the point is still the same; to meet your employee, compliance customer base.

Maintaining a positive attitude toward compliance is essential for building a culture of collaboration, engagement, and ethical behavior. By embracing creativity, humor, and positivity, compliance professionals can enhance communication, drive behavior change, and ultimately contribute to the overall success of compliance programs. Leadership’s positivity, particularly from the CCO, is crucial in setting the tone for the compliance function and fostering a more positive and engaging environment. Organizations can create a more effective and ethical compliance program that resonates with employees and stakeholders by prioritizing positivity in compliance.

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A Shifting Mindset Towards Prevention

It would not be too controversial to say that compliance programs are crucial in ensuring that organizations adhere to legal and ethical standards. That is basically what we are all striving to do. However, many of these programs are reactive, focusing more on problem-solving than prevention. This approach often leads to a lack of resources and initiative for proactive measures, which can ultimately hinder the effectiveness of compliance efforts. What I would ask you to consider today is a shift in your compliance program to prevention through greater engagement.

I have long used the McNulty Maxim’s of (1) What did you do to stop it? (2) What did you do to find out about it? and (3) What did you do to fix it? (Prevent, Detect, Remediate) You may need to shift your compliance mindset regarding your compliance regime. Through proactive measures, such as engaging and frequent training, you can move towards creating a culture of compliance that is both effective and engaging. Ronnie Feldman continually reminds us of the value of using entertainment and comedy in compliance training to make the learning experience enjoyable and memorable.

One of the critical factors impacting the shift towards prevention and engagement is the allocation of resources. Traditionally, compliance programs have focused on detection and investigation, often spending a significant portion of their budget on these reactive measures. However, as Feldman pointed out, this approach can be counterproductive. By investing more in preventative measures, organizations can mitigate risks more efficiently and avoid the need for extensive investigations.

Another essential factor to consider is the impact on employees. Compliance programs relying solely on detection and punishment can create a hostile, fear-based culture. Employees may hesitate to speak up about potential issues or concerns, fearing retribution or negative consequences. On the other hand, a prevention-focused approach that emphasizes engagement and empowerment can foster a culture of trust and psychological safety. When employees feel safe and supported, they are likelier to speak out and ally with their colleagues.

Balancing these factors can be challenging. Compliance professionals must find a way to allocate resources effectively, ensuring that both prevention and detection measures are in place. This requires a shift in mindset and a willingness to invest in proactive measures, even if it means reallocating resources from reactive measures. It also requires a commitment to engaging and empowering leaders within the organization, as they play a crucial role in setting the tone for compliance.

One approach to achieving this shift is through the use of microlearning. Many training professionals have highlighted the value of short, impactful learning modules that can easily integrate into employees’ daily routines. By delivering training in bite-sized pieces, organizations can ensure that employees are consistently engaged and learning without overwhelming them with lengthy and infrequent training sessions.

While shifting compliance programs towards prevention and engagement is compelling, it is essential to acknowledge the challenges associated with implementing such a shift. Resistance to change, limited resources, and competing priorities can all pose obstacles. However, by recognizing the importance of prevention and engagement, organizations can begin to overcome these challenges and make meaningful progress toward a more effective and engaging compliance program.

Shifting compliance programs towards prevention and engagement is a critical step in improving the effectiveness of compliance efforts. By investing more in proactive measures, engaging employees through innovative training methods, and empowering leaders, organizations can create a culture of compliance that is both effective and engaging. While there are challenges associated with this shift, the benefits far outweigh the tradeoffs. Ultimately, a prevention-focused approach mitigates risk more efficiently and creates a positive and engaging compliance culture.

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Creativity and Compliance

Creativity and Compliance – Personalization of Compliance Communications

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network. Ronnie’s company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. Today Ronnie and Tom visited with Krista Wolff and Shannon Jamison both from Agilent Technologies on their innovative compliance communications strategies.

Krista Wolff, a professional in corporate compliance with a background in graphic design, and Shannon Jamison, a Global Compliance Operations leader for Agilent Technologies, are known for their innovative and engaging approaches to corporate compliance. Wolff believes in the importance of risk-taking and vulnerability in creating effective compliance initiatives, emphasizing the need for action, personal outreach, and the use of creativity to make compliance initiatives approachable and enjoyable. Jamison, on the other hand, advocates for fun and authenticity in compliance programs, emphasizing the importance of being true to oneself, connecting with the target audience, and fostering team collaboration. Both Wolff and Jamison’s perspectives are shaped by their unique backgrounds and experiences in the field. Join Tom Fox and Ronnie Feldman as they delve into these perspectives with Krista Wolff and Shannon Jamison on this episode of the Creativity and Compliance podcast.

Key Highlights:

  • Making Compliance Engaging and Fun
  • The Power of Involving Others in Compliance
  • Compliance Team Trading Card Showcase
  • Compliance Trading Cards and Cocktail Pairings
  • Creating a Positive Compliance Culture through Engaging Activities
  • Appreciation for Building Business Connections

Resources:

Ronnie

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Shannon Jamison on LinkedIn

Krista Wolff on LinkedIn

Tom

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Creativity and Compliance

Creativity and Compliance – An Ounce of Prevention

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network.
Ronnie’s company, Learnings, and Entertainment, utilizes the entertainment devices people use to consume information in their everyday, non-work lives and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. Today, Ronnie and Tom, as they consider compliance training and communication, are being used in the best, highest use, and most effective manner.
The topic of shifting compliance programs towards prevention and engagement is compelling, as it challenges the traditional reactive approach and advocates for a more proactive, engaging strategy. Ronnie believes that most compliance programs are reactive rather than proactive. He argues that a shift towards prevention, communication, burst learning, and leadership development can mitigate risks more efficiently and make compliance training more interesting and positive. Tom echoes this sentiment, emphasizing the need for engaging, entertaining, and impactful compliance programs. He suggests that by focusing on prevention, communication, shorter training, and leadership development, companies can create a culture of psychological safety and reduce the time and money spent on investigations and problems.

Join Tom Fox and Ronnie Feldman on this Creativity and Compliance podcast episode as they delve deeper into this fascinating topic.

Key Highlights:

  • Shifting Towards Prevention: The Key to Effective Compliance
  • Using Comedy to Transform Compliance Training
  • Engaging and Time-Efficient Micro-Learning Modules
  • The Importance of Proactive Compliance Measures

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Ronnie

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Promoting Corporate Ethics Through Engaging Year-Round Activities

Corporate Compliance and Ethics Week will be held from November 5-11, 2023. It is designed to celebrate the compliance function in the corporate world. While many companies celebrate Corporate Compliance and Ethics Week as an annual event to raise awareness about these important topics, the philosophy behind it should be applied throughout the year and in a recent episode of the podcast “Creativity and Compliance” hosted by Tom Fox and Ronnie Feldman, discussed not only the significance of this week but equally significant, the importance of engaging year-round activities in promoting corporate ethics.

One of the key takeaways was the recognition that compliance programs often limit themselves to being fun and interesting only during Compliance Week. Ronnie highlighted the irony of this approach. He questioned why companies would only focus on engaging activities once a year when they inherently recognize that fun and exciting initiatives can have a lasting impact on compliance efforts. Feldman emphasized that the philosophy behind Compliance Week should be applied consistently throughout the year.

Engaging in year-round activities can take various forms. One approach Ronnie discussed is using creative methods such as talk shows, game shows, and workshops. These activities can make compliance more enjoyable and memorable for employees, fostering a culture of ethics and integrity. For example, Feldman shared an example of a client, an Insulin device company, that created a talk show called “Ethically Speaking with Your Host Sugar Levels.” This show allowed the compliance team to be interviewed in a fun and witty manner, making the subject of ethics more approachable and relatable.

Art exhibits were also discussed as a unique way to explore and discuss ethics and integrity. Progressive Insurance, for instance, organized an art exhibit where each piece of art had a tie-in to ethics and integrity. This approach allowed employees to engage with the subject matter more nuanced and thought-provokingly. Bringing art and ethics sparked meaningful conversations, promoting a deeper understanding of ethical principles.

Another exciting suggestion made in the episode was assigning compliance projects to millennials. This approach brings a fresh perspective and better engages a younger audience with different expectations and preferences regarding compliance efforts. By involving millennials in compliance initiatives, companies can tap into their creativity and innovative thinking, making compliance activities more relevant and impactful.

However, it is essential to consider the tradeoffs and challenges associated with engaging in year-round activities for promoting corporate ethics. Budget constraints, time limitations, and the need for continuous innovation can pose challenges for compliance professionals. They are finding the right balance between engaging activities and the practicalities of running a compliance program.

Ultimately, the impact of engaging year-round activities on promoting corporate ethics cannot be underestimated. Compliance programs can have a cultural impact on the entire organization if they are fun, engaging, thoughtful, empathetic, and do not waste people’s time. By investing time and effort into creative and exciting initiatives, companies can create a positive compliance culture that resonates with employees at all levels.

In conclusion, promoting corporate ethics through engaging year-round activities is a powerful approach to fostering a culture of integrity and compliance. Compliance programs should not limit themselves to being fun and exciting only during Compliance Week but should embrace the philosophy behind it throughout the year. Companies can make compliance more enjoyable, memorable, and relevant by using creative methods, such as talk shows, game shows, workshops, and art exhibits. Assigning compliance projects to millennials can bring a fresh perspective and engage a younger audience better. While challenges and tradeoffs may be involved, the long-term benefits of hiring year-round activities in promoting corporate ethics are worth the investment.

Check out the full Corporate Compliance Week 2023 episode with Tom Fox and Ronnie Feldman on Creativity and Compliance here.

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Creativity and Compliance

Creativity and Compliance – Promoting Year-Round Compliance and Ethics Engagement

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network.

Ronnie’s company, Learnings, and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. Today, Ronnie and Tom discuss the philosophy behind Corporate Compliance and Ethics Week and use it as a jumping-off point to discuss compliance year-round.

Promoting corporate ethics is not a one-time event but a year-round commitment that can be made engaging and interesting through creative activities. Tom believes that while Compliance and Ethics Week is a great initiative, the philosophy behind it should be applied throughout the year. He suggests using the momentum built during this week to engage employees in ethical discussions and training through creative methods like interviews, art exhibits, and game shows. Similarly, Ronnie believes that the philosophy behind Compliance Week should be a year-round commitment. He suggests implementing creative initiatives like talk shows and workshops and repurposing fun games to address ethical subjects. Join Tom Fox and Ronnie Feldman as they delve deeper into this topic in this episode of the Creativity and Compliance podcast.

Key Highlights:

  • Promoting Year-Round Compliance and Ethics Engagement
  • Creating Engaging Compliance Apps for Millennials
  • Engaging and Memorable Compliance Activities
  • Exploring Ethics and Integrity Through Art

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Ronnie

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Report from IMPACT 2023

Report from IMPACT 2023 – Ronnie Feldman – Engaging a Global Workforce: Creative Solutions

ECI’s IMPACT 2023 was one of the leading compliance events in 2023. At this conference, Tom Fox, the Voice of Compliance, was able to visit with several of the speakers, exhibitors, participants and one group of ethically minded Girl Scout Troop. In this limited podcast series, Report from IMPACT 2023, Tom explores many of the most cutting edge topics in ethics and compliance through short podcast episodes. Check out the full series of interviews. You will be enlightened, informed and come away with a fuller and more thorough understanding of the most cutting-edge topics in ethics and compliance. In this episode, Tom visits with Ronnie Feldman, founder of Learning and Entertainments.

Tom and Ronnie discuss using creative solutions to engage remote employees, such as short commercials and social media style content. They chatted about corporate social responsibility and how to engage a global, multicultural workforce. Ronnie believes that e-Learning is mostly ineffective, long, and boring, and suggests using animation, music, and custom videos with real people in their language as creative solutions. Tom recommends pushing out a video of a certain style for a couple of weeks, then trying a different video of the same style for a couple of weeks, knowing that over time, more people will be engaged. They also discussed the importance of content being interesting, positive, and culture-based, but not preachy.

 Highlights include 

·      Global Engagement Strategies

·      Engaging Remote Employees

·      Creating Video Content 

Resources 

Connect with Ronnie Feldman on LinkedIn

Learnings and Entertainments

Connect with Tom Fox on Linkedin

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Creativity and Compliance

Creativity and Compliance – Creativity in Training and Communications at Starbucks

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network.

Ronnie’s company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to essential topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. Today Ronnie and Tom are joined by Len Larsen, Manager, Ethics and Compliance, and Cory Macdonald, Learning Manager, Ethics and Compliance. Both are at Starbucks in Ethics and Compliance.

The Ackerman principle of innovate, elevate, and educate was the focus of the conversation between Len & Cory and Tom & Ronnie, on the importance of addressing microaggressions in the workplace. They discussed the need for managers to have the necessary soft skills to have difficult conversations and create a speak-up culture in the workplace. They also discussed the importance of intent versus impact, the need for trust between managers and their employees, and the need for companies to provide role-playing and other training to help managers learn how to have difficult conversations. Finally, they discussed the need for companies to be comfortable with the discomfort of trying something new and be willing to pivot if it doesn’t work out.

Key Highlights

·      Soft Skills Training

·      Managing Difficult Conversations

·      Manager Behavior

·      Innovate, Elevate, Educate

·      Microaggressions in Workplace

·      Coaching First-Time Employees

·      Speaking Up

Resources:

Ronnie

Tom

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Daily Compliance News

Daily Compliance News: May 19, 2023 – The Ronnie Feldman Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition:

  • Meta channels their inner Ronnie Feldman. (WSJ)
  • BODs wake up to cyber security risks. (FT)
  • The lawyer doesn’t want the name disclosed. (Reuters)
  • What is geo-strategic corruption? (The Conversation)
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31 Days to More Effective Compliance Programs

One Month to a More Effective Compliance Program for Training and Communications – Use of Social Media in Compliance

What is the compliance message inside of a corporation, and how is it distributed? In a compliance program, the largest portion of your consumers/customers are your employees. Social media presents some excellent mechanisms to communicate the message of compliance in the future. Many of the applications we use in our communications are free or available at very low cost. Why not take advantage of them and use those same communication tools in your internal compliance marketing efforts going forward?

Louis Sapirman, Vice President and Chief Ethics & Compliance Officer for Panasonic Corporation of North America – Panasonic USA, often discuss integrating social media into compliance. It would be best if you started with the tech-savvy nature of today’s workforce. It is not simply about having a younger workforce but a workforce whose primary tool for communication is social media. If your company is in the services business, it probably means your employee base is using technological tools to deliver business solutions. Finally, consider the data-driven nature of business today, so using technological tools to deliver products and solutions is something your company probably does now. Facebook, LinkedIn, Twitter, and even TikTok can all be utilized.

Finally, never forget the social part of social media. Social media is a more holistic, multiple-sided communication. Not only are you setting out expectations, but also, these tools allow you to receive back communications from your employees. The D&B experience around the name change for its Code of Conduct is but one example. You can also see that if you have several concerns expressed, it could alert you earlier to begin some detection and move toward prevention in your compliance program.

Another approach is to use audio as a part of your compliance communications. Podcasts are a great way to tell a long-form story about your compliance successes and challenges. Ronnie Feldman, the founder of L&E Entertainment, continually reminds us that the engagement of your compliance audience is through the entertainment of your compliance communications. But the key is that the audio format can be a powerful tool for you and a way to reach your employee base that you need to take advantage of. It can be as simple as interviewing employees on the importance of culture and how they use it to guide their decision-making in their daily work. Your imagination only limits you.

 Three key takeaways:

1. Incorporating social media into your compliance communications can pay big dividends.

2. Focus on the ‘social’ part of social media.

3. Consider incorporating podcasts and audio clips into your compliance communications and training.

For more information, check The Compliance Handbook, 3rd Edition available here.