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How to Be a Wildly Effective Compliance Officer
"How to Be a Wildly Effective Compliance Officer" teaches compliance profesionals the secrets of influence, persuasion and motivation so they can become in-demand business assets.
This book is a powerful guide to help practitioners move from the check-the-box mentality of a paper program to become a dynamic business leader.
Roy Snell, the CEO of the Society of Corporate Compliance and Ethics raved, "Kristy Grant-Hart infectiously describes the missing link in the compliance profession - interpersonal skills and influence. If you are or want to be a successful compliance professional - this book is invaluable."
This book is a powerful guide to help practitioners move from the check-the-box mentality of a paper program to become a dynamic business leader.
Roy Snell, the CEO of the Society of Corporate Compliance and Ethics raved, "Kristy Grant-Hart infectiously describes the missing link in the compliance profession - interpersonal skills and influence. If you are or want to be a successful compliance professional - this book is invaluable."
152 pages, Paperback
Published February 4, 2016
7 people are currently reading
321 people want to read
About the author
Kristy Grant-Hart
9 books14 followersKristy Grant-Hart is a celebrated former Chief Compliance Officer and current professor of Global Compliance and Ethics. She's the Managing Director of Spark Compliance Consulting, a boutique firm focusing on creating, implementing, energizing and optimizing compliance and data privacy programs for multi-national companies. She can be found at http://www.ComplianceKristy.com
Ms. Grant-Hart is a popular international speaker. She's an American living in London with her British husband and two beloved Californian rescue dogs, Samuel and Mr. Fox.
Ms. Grant-Hart is a popular international speaker. She's an American living in London with her British husband and two beloved Californian rescue dogs, Samuel and Mr. Fox.
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Displaying 1 - 7 of 7 reviews
May 5, 2020
This was an absolutely excellent read and has the exact type of content I need for where I am in my career. Generally, I think a lot more emphasis should be placed on the skills of persuasion needed to excel is risk and compliance, and this book helps with just that. Overall, I am looking forward to applying these principles in practice.
May 23, 2019
Perhaps an overly simplistic guide with very little insight into what a compliance officer actually does/is. I would have appreciated the author not assuming that her audience was stupid.
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April 10, 2024Read for work. Very informative!
February 12, 2016
This book is a MUST READ for anyone who wants to have a successful career in compliance. It has more practical information about how to be a successful compliance officer than I ever could have expected in such a quick and entertaining read. Written by a well-known expert in the compliance field, the book arms readers with a wealth of tools, including checklists, flowcharts, and easy to use methods for motivating groups and individuals, that you will actually want to use. I already have some of the charts the author provided up on my wall for easy reference! But the book isn't just a dry textbook read - in fact, the author backs up her advice to readers with funny stories of what worked and what didn't work for her throughout her career. I also really liked the author's passion for her work - at the start of the book she likens the compliance officer role to that of a superhero fighting to bring transparency and fairness to the world - and it's almost impossible not to feel energized or re-energized about a career in compliance after reading this book!
September 27, 2016
This book is a must read for anyone who works in the world of compliance. The author provides tips and strategies to help compliance professionals communicate with executives and further their mission. This book would also be a great help to almost anyone is a corporate support role. In large measure one could insert many job titles in place of Compliance Officer and this book would provide very valuable information for that job as well.
April 30, 2017
Includes some great ideas and tips; a must-read for new compliance officers.
April 18, 2017
In my interview with Kristy Grant-Hart after reading her book, I found both the book and our discussion highly informative. She is an in-the-trenches stalwart of compliance best practices and has penned a book, which gives the reader a bounty of best practices, ideas, and tips related to the role of the Compliance Officer. While Ms. Grant-Hart’s primary audience for the book is obviously Compliance Officers, I believe anyone who is in the business of compliance, ethics, and employment law in an organization will get tremendous value, e.g., HR, Legal, IT, and executives.
Selfishly, as a Director of Marketing for an online compliance training company, Syntrio, I wanted to be able to get inside the head of Compliance Officers so that I could market and sell to that target audience better. And How to Be a Wildly Effective Compliance Officer has helped me there too.
After an inspirational Foreword by Joe Murphy, the book contains eleven chapters, which build on each other to cumulate in a powerful set of tools for the Compliance Officer, or those soon to be Compliance Officers or those who want to know the role of the Compliance Officer better.
The first several chapters of the book help you get inside the Compliance Officer’s stakeholder heads and using their motivators to influence them to make the right decisions. As a sales and marketing person, I find this approach refreshing. In sales, there isn’t just a sales person pitching. There is a buyer or buyers who must be persuaded to do what the sales person (Compliance Officer) wants him or her or the team to do. The four primary motivators are Fear for Self, Fear for the Business, Noble Cause, and Competitive Edge. Ms. Grant-Hart does a great job defining each of these and how to use them.
If you think senior leaders in organizations have all the power, you might be mistaken. All organizations have the named power and covert power. In other instances, I have called this positional power and market mavens, but I really like the moniker the author uses. Strategically working with those with covert power who are aligned with the named power while focusing on the organization’s primary motivators is a trifecta of leverage, which will net positive results.
In addition to the already mentioned best practices, Chapter Three contains a Compliance Officer Risk Matrix, with a “Readiness for Change,” axis and a “Need for Change,” access. With a series of questions, the Compliance Officer can tell where their organization stands on the Risk Matrix. The author then provides specific recommendations for each of the four quadrants and how to up-level the compliance program, wherever you might be starting from. I personally love books that provide these kinds of pragmatic tools, which you can start to use immediately.
“You can’t manage what you can’t measure,” is an old but true business adage. In Chapter Four, the author provides a variety of ways that Compliance Officers can show their leadership how well the compliance program is fairing. Like the previous chapter, Ms. Grant-Hart provides a practical set of prospective compliance program measures, including a great sample of a Compliance Dashboard, which can be reported on monthly, quarterly, and annually. If your leadership doesn’t know the results of your good compliance work, how can they support it with the requisite resources? This is a key role for any Compliance Officer.
Compliance Officers can often be associated with negativity and criticality. In Chapter Five, the author provides a plethora of tactics that can help overcome these potential perceptions. If you aren’t approachable, and employees and staff cannot talk openly with you, your effectiveness may be lessened. I found Chapter Five to be one of my favorites and the tips Kristy provides in here are very easy-to-implement, yet powerful.
Have you ever worked with an in-your-face salesperson who wouldn’t let you speak or ask questions or raise objections? Do you remember how annoying that was? Chapter Six is about the art of listening how powerful this skill is for anyone in the sales (think Compliance Officer) role. The more you listen to your clients. The more open-ended questions you ask your clients. The more they will share with you. This lets you pull together a solution, which will truly align with their primary motivators and their business needs. AND, it minimizes the chance of recommending the wrong solution(s).
In Chapter Seven, the reader is exposed to some higher-level persuasion techniques. Note that ALL sales are about making a persuasive argument. The author introduces some concepts, which can help the Compliance Officer get the desired end result. These include the appropriate use of fear (and follow-up actions), the relationship between emotion and logic in the buying process, the power of asking for a favor, and the secret word that will make you 50% more persuasive. You’ll need to read the book to see what that word is.
As a person who has been in a sales role, in one way or another, for the last 25 years, I really enjoyed Chapter Eight, “I’m the Expert.” Think about it. Especially when purchasing services or complex products, don’t you want to buy from an expert? I have found being a Subject Matter Expert (SME) in your field can be a catalyst for sales. This chapter provides plenty of ways the Compliance Officer can become an expert and with this drive more influence in the organization. This includes activities such as writing articles, speaking at conferences, and seeking organizational compliance awards.
All professions have industry networks. Compliance has a robust and growing network of associations, conferences, professional regional groups, etc., which can provide a great way to develop connections and relationships in your field. In Chapter Nine, the author even includes some great ways to get the maximum mileage from any conference Compliance Officers attend. There is nothing worse than paying thousands of dollars (conference fees, flights, hotels, per diem, etc.) and coming home empty handed.
Chapter Ten, which is the last chapter before the summary, helps Compliance Officers deal with some of the inevitable downs, they will experience as part of their careers. Everyone will experience challenges, defeats, and even sometimes contemplate whether they are in the right role and/or company. Ms. Grant-Hart provides a pragmatic Compliance Officer Decision Tree to help get the right answer about difficult compliance-related decisions.
In summary, this book provides me with everything I seek in a professional book:
-Insights based on years of experience
-Practical, easy-to-use tools
-Methods for self-improvement
-High return on my reading investment.
If you want to know how to be a better Compliance Officer or like me, you just want to know more about what makes a Compliance Officer tick, I highly recommend you get a copy of this book for yourself and your staff.
Selfishly, as a Director of Marketing for an online compliance training company, Syntrio, I wanted to be able to get inside the head of Compliance Officers so that I could market and sell to that target audience better. And How to Be a Wildly Effective Compliance Officer has helped me there too.
After an inspirational Foreword by Joe Murphy, the book contains eleven chapters, which build on each other to cumulate in a powerful set of tools for the Compliance Officer, or those soon to be Compliance Officers or those who want to know the role of the Compliance Officer better.
The first several chapters of the book help you get inside the Compliance Officer’s stakeholder heads and using their motivators to influence them to make the right decisions. As a sales and marketing person, I find this approach refreshing. In sales, there isn’t just a sales person pitching. There is a buyer or buyers who must be persuaded to do what the sales person (Compliance Officer) wants him or her or the team to do. The four primary motivators are Fear for Self, Fear for the Business, Noble Cause, and Competitive Edge. Ms. Grant-Hart does a great job defining each of these and how to use them.
If you think senior leaders in organizations have all the power, you might be mistaken. All organizations have the named power and covert power. In other instances, I have called this positional power and market mavens, but I really like the moniker the author uses. Strategically working with those with covert power who are aligned with the named power while focusing on the organization’s primary motivators is a trifecta of leverage, which will net positive results.
In addition to the already mentioned best practices, Chapter Three contains a Compliance Officer Risk Matrix, with a “Readiness for Change,” axis and a “Need for Change,” access. With a series of questions, the Compliance Officer can tell where their organization stands on the Risk Matrix. The author then provides specific recommendations for each of the four quadrants and how to up-level the compliance program, wherever you might be starting from. I personally love books that provide these kinds of pragmatic tools, which you can start to use immediately.
“You can’t manage what you can’t measure,” is an old but true business adage. In Chapter Four, the author provides a variety of ways that Compliance Officers can show their leadership how well the compliance program is fairing. Like the previous chapter, Ms. Grant-Hart provides a practical set of prospective compliance program measures, including a great sample of a Compliance Dashboard, which can be reported on monthly, quarterly, and annually. If your leadership doesn’t know the results of your good compliance work, how can they support it with the requisite resources? This is a key role for any Compliance Officer.
Compliance Officers can often be associated with negativity and criticality. In Chapter Five, the author provides a plethora of tactics that can help overcome these potential perceptions. If you aren’t approachable, and employees and staff cannot talk openly with you, your effectiveness may be lessened. I found Chapter Five to be one of my favorites and the tips Kristy provides in here are very easy-to-implement, yet powerful.
Have you ever worked with an in-your-face salesperson who wouldn’t let you speak or ask questions or raise objections? Do you remember how annoying that was? Chapter Six is about the art of listening how powerful this skill is for anyone in the sales (think Compliance Officer) role. The more you listen to your clients. The more open-ended questions you ask your clients. The more they will share with you. This lets you pull together a solution, which will truly align with their primary motivators and their business needs. AND, it minimizes the chance of recommending the wrong solution(s).
In Chapter Seven, the reader is exposed to some higher-level persuasion techniques. Note that ALL sales are about making a persuasive argument. The author introduces some concepts, which can help the Compliance Officer get the desired end result. These include the appropriate use of fear (and follow-up actions), the relationship between emotion and logic in the buying process, the power of asking for a favor, and the secret word that will make you 50% more persuasive. You’ll need to read the book to see what that word is.
As a person who has been in a sales role, in one way or another, for the last 25 years, I really enjoyed Chapter Eight, “I’m the Expert.” Think about it. Especially when purchasing services or complex products, don’t you want to buy from an expert? I have found being a Subject Matter Expert (SME) in your field can be a catalyst for sales. This chapter provides plenty of ways the Compliance Officer can become an expert and with this drive more influence in the organization. This includes activities such as writing articles, speaking at conferences, and seeking organizational compliance awards.
All professions have industry networks. Compliance has a robust and growing network of associations, conferences, professional regional groups, etc., which can provide a great way to develop connections and relationships in your field. In Chapter Nine, the author even includes some great ways to get the maximum mileage from any conference Compliance Officers attend. There is nothing worse than paying thousands of dollars (conference fees, flights, hotels, per diem, etc.) and coming home empty handed.
Chapter Ten, which is the last chapter before the summary, helps Compliance Officers deal with some of the inevitable downs, they will experience as part of their careers. Everyone will experience challenges, defeats, and even sometimes contemplate whether they are in the right role and/or company. Ms. Grant-Hart provides a pragmatic Compliance Officer Decision Tree to help get the right answer about difficult compliance-related decisions.
In summary, this book provides me with everything I seek in a professional book:
-Insights based on years of experience
-Practical, easy-to-use tools
-Methods for self-improvement
-High return on my reading investment.
If you want to know how to be a better Compliance Officer or like me, you just want to know more about what makes a Compliance Officer tick, I highly recommend you get a copy of this book for yourself and your staff.
Displaying 1 - 7 of 7 reviews