Ricardo Pellafone on Measuring if Your Compliance Program is Working [Podcast]

By Adam Turteltaub

How do you know your compliance program is working?  Are there no incidents because there really aren’t incidents, or just because you haven’t found them yet?

Ricardo Pellafone, the founder of compliance-training company Broadcat joins us for this podcast to discuss how to measure the impact of a compliance program, and how to be a better communicator.  Listen in as to his provocative and intriguing thoughts such as:

  • Simply measuring that nothing happened, isn’t the best measurement; measure business process improvement instead
  • Have a clear definition of what the business problem is
  • Determine what the problem costs the organization
  • Resist the temptation to jump straight to solutions
  • If the compliance program is new, focus on whatever your biggest risk is, then build out what a proactive solution could do and would cost
  • When it comes to training and other communication, think about what the outcome is that you want, and then figure out which content and format can get you there
  • When developing training, remember that adults tend to be problem-focused and eager to apply the learning immediately
  • Think about company workflows and when and where it would be most effective to deliver a compliance message inside that workflow.


  1. I will say that the idea of measuring nothing because there is nothing to measure that one is aware of is perhaps one of the biggest and maybe most obvious red flags the compliance professionals should easily see….if it doesn’t hit them in the face as it is flapping in the wind!

  2. Oops…hit send to soon.

    I think this podcast points out (though not necessarily stated) the importance of how an effective auditing and monitoring program that is related to those risk areas identified within an organization…is very important.

    However…I am continued to be impressed how little the auditing and monitoring function is developed within the scope or context of a compliance program.

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