Score Your Organization's Compliance Maturity

Part 1 of 2

1. Which topics does your organization do formal training on?

Code of Conduct

Anti-Corruption

Conflicts of Interest

Workplace Harassment

Cybersecurity

Anti-trust or Trade Regulation

Financial Crimes

Diversity & Inclusion

2. How many employees does your organization have?

1 - 999

1,000 - 4,999

5,000 - 19,999

20,000 - 50,000

50,001+

3. How does your organization develop compliance training?

We develop our training in-house

We source our training from third parties

We have a hybrid approach between in-house development and third parties

Part 2 of 2

4. What statement best describes your compliance training program?

We do not provide formal compliance training on most topics, but make policy information accessible to all employees.

We provide some optional compliance training, and conduct policy attestations or certifications to ensure awareness and compliance.

Compliance training for critical risk areas is provided uniformly throughout the organization on an annual cycle and completion is tracked and reported.

An enterprise wide compliance training program exists and is monitored by management and responsible officers. The organization takes a risk-based approach in identifying persons that need training in key compliance areas and monitors their participation. Completion metrics are collected and reported to executives.

A program of ongoing compliance training is implemented, consisting of foundational training and then on-going reinforcement or nudges based on employee need. Automation is used in program delivery and monitoring. Training is adaptive or tailored to employees. Monitoring and metrics are used to continuously improve training.

5. What statement most accurately describes the data your organization collects around compliance training?

We are not tracking or analyzing compliance training data.

We track usage/completion data and report it to measure program success.

We collect quiz scores from our compliance training in addition to usage data like completion, seat time etc. and report it to the board.

We collect and analyze behavioral data from training, segment it and distribute to various business leaders/units to operationalize.

We have advanced compliance training that produces behavioral data that we triangulate with incident data, hotline data, and other data to not only verify our training efficacy, but uncover hidden risks in sectors where employees may not be speaking up…and we use this data to inform strategy and resource allocation.

6. What statement most accurately describes how your organization operationalizes compliance?

Compliance team largely operates independently from the business and runs its programs centrally with minimal business involvement.

Occasionally we provide managers with talk tracks or email scripts on key risk topics.

We have researched our key risk areas and identified where potential hotspots may exist, but we haven’t been consistent in integrating tools within the business lines and processes to address the risks.

We consistently deploy toolkits and job aids across the organization for just-in-time use.

We use behavioral analytics to identify the exact segments of our population that have higher risk of non-compliance, deploy a set of personalized job aids and toolkits to integrate into their day to day work and follow up to measure if these deployments moved the needle.

7. What statement most accurately describes the communication around your compliance training?

All compliance communications are informal and largely verbal.

Communication strategy is limited to enrollment e-mails, completion reminders and/or an annual kick off message from a senior leader.

In addition to training rollout related emails, compliance communications such as newsletters, email blasts, posters and other methods are made available to various business units to use as they see fit. There is no formal documented compliance communication strategy.

The organization has developed a formal, documented, compliance communication plan with rollout materials and other resources and requires participation from all businesses and is updated at least annually.

Compliance monitoring and readiness metrics are used to guide business lines on what communication resources to use and deploy, as well as to continuously improve the documented compliance communication plan annually.

Your Results

Ad-Hoc

Marginal

Competitive

Mature

Best-In-Class

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The Breakdown Part 1

Your Choices