I have long advocated for a greater role of Human Resources (HR) in compliance. Indeed, one sign of a mature compliance and ethics program is the extent to which a company’s HR Department is involved in implementing a compliance solution. While many practitioners do not immediately consider HR as a key component of a best practices compliance solution, it can be one of the lynch pins in spreading a company’s commitment to compliance throughout the employee base. HR can also be used to ‘connect the dots’ in many divergent elements of a compliance and ethics program.
Even more important is the operationalization of compliance into the fabric of the business. One of the key indicia of compliance program effectiveness is how thoroughly each separate corporate discipline incorporates compliance into its everyday job functions. An active and functioning compliance program will literally be alive in each department in an organization.
HR has as many touchpoints as any other corporation function with employees. From interviews to onboarding, through evaluations and performance appraisals, even to the separation process; HR leads many of the corporate touchpoints. Each one of these touchpoints can be used to teach, educate and reinforce the message of doing business ethically and in compliance with anti-corruption laws
Three key takeaways:

What are the HR-employee touchpoints at your company?

HR professionals can bring new, dynamic and innovative techniques to compliance

Go down and have a cup of coffee with the head of your corporate HR department. Find out what they do and how they do it.


For more information, check out The Compliance Handbook, 4th edition, here.
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