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THE COMPLIANCE & ETHICS BLOG
When I first started working in compliance, I could feel the ye rolls when I walked into
meetings and the sheer disdain for the
compliance department from other employees.
Compliance means doing things “by the
book,” and that means: 1. More money, 2.
More time, and 3. No—A lot of no. Talk about
being the company Debbie Downer. However,
there are a couple of things that I wish I could
have shared with those previous coworkers.
Here are the top three things I wish my fellow
1. We hate telling you “no”
That great idea you have for an advertising
campaign? It really IS great. But it could use
some tweaks to make sure we don’t run afoul
of any advertising regulations from the FTC
and the CFPB. I know you’ve worked on this
campaign for weeks, and I know that it’s your
baby and you want it to run, run free across the
internet. I support you; I really do! It just can’t
work exactly as you had originally planned.
2. We want to work with you, not against you
We can be creative too! We’re not just
bookworms and sticklers for the rules. We
want to contribute and be part of a solution.
Most importantly, we want to work alongside
you, not just stand in your way. We don’t want
to send you back to the drawing board alone.
We want you to know that you can trust us,
that you can collaborate with us, and most
importantly, know that we’re here to help you.
3. We want the company to make money
Inevitably, there’s a void between the business
management team and the compliance team.
There will be conflict, mostly about money.
How can we run our business successfully
AND not break any rules?!?! One wants to
run for the fences and get as close to that
line as possible, and the other wants to stay
right where home base is located. Let your
compliance officer help you come up with
policies and procedures that optimize your
business performance while coloring between
the lines. This is what we’ve been trained
Most importantly, your compliance officer
wants you to know that we’re available, we
value your input, and there’s nothing better
than true interdepartmental collaboration.
Give us a shot; we won’t let you down! ✵
For more compliance news and insights, visit The
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By Courtney Hogwood, Esq., CCEP, President of Cavalry Compliance Group, LLC.
The Top 3 Things Your Compliance
Officer Wants You to Know