Keith Read on Approaching Compliance Differently [Podcast]


By Adam Turteltaub

London-based Keith Read (LinkedIn) is a longtime member of the compliance community and author of the book The Unconventional Compliance Officer: Doing Things Differently. He laments the fact that compliance officers spend their time “pushing”, as he describes it: pushing training, reminders, policies and so forth. That, he believes, leads to compliance fatigue and pushback.

Instead, he is an advocate for creating pull, where employees don’t see compliance as a chore but as an asset. In this podcast he outlines several intriguing practices he has used throughout the year to stimulate pull:

  • A compliance passport system to provide a more formal and valuable certification for employees of their achievement in meeting their compliance training requirements
  • A competition to identify compliance and ethics issues, which exposed some genuinely real issues
  • Creating “licensed professionals”. For example, by completing compliance training you are then licensed to perform your job. This helped identify gaps and tighten up the procurement process.
  • Instead of just auditing third parties, providing them with a grade, similar to what is often done for health and safety ratings at restaurants. Vendors came to use good ratings as a badge of pride internally and to help them win additional business

Listen in to learn more about these ideas and others that could stimulate new ways to think about your compliance and ethics program.