Compliance Training- Why Make Them Role and Responsibility Focused


Talk compliance training, no one seems to know the best and effective way of delivering them. Most companies offer compliance training, but without any clue of what to expect of it. Regulatory and compliance authorities are increasingly looking at training that can effective job roles and responsibilities.

Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations, was heard addressing a session on Anti-money laundering, “I would caution against the use of generic training that does not explain to employees the specific roles and responsibilities that they have.” Kevin is absolutely correct in his expression of the fact that compliance training can no more be generic.

To set the stage, compliance training programs should be aligned to the risks and liabilities caused due to insufficient adherence. Next, regulatory and compliance training have to be aligned to roles and responsibilities of end users. Now comes the big challenge of designing engaging regulatory and compliance training programs that deliver behavioral changes.

Consider the case of ‘workplace harassment training’. since we said, compliance training have to be aligned to risks first, it is best advised to design a content outline or learning path that maps to risks of ‘workplace harassment’.

What are the risks?

  • Risks of not being able to identify sexual harassment at workplace.
  • Risks of not being able to timely report cases of harassment.
  • Risks of not being able to assertively resist harassment.

To design an engaging compliance and regulatory training, using visual brain teasers is one of the best methodologies. Our brain is conditioned to focus and retain information presented in the line-of-sight. Using the concept of fore-sight and hind-sight, compliance and regulatory training can be presented as visual cues for learners to develop keen observing skills.

Here is a comprehensive report by LRN that describes about the Program Effectiveness Index of compliance training programs. Happy reading.