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Compliance 101

  • New to the compliance game? I’ll fill you in on a secret: striving to be just effective is so 2000 and late. Boost your career to the next level and become a wildly effective compliance professional with this resource-packed online course. Broken into three overarching themes, the modules kick off with an intro to key laws, dive into the DOJ’s seven elements of an effective program, and wrap up with capstone lessons on culture—including pitfalls to avoid! You’ll walk away with practical insights and be armed with downloadable articles, templates, and other materials to reference for years to come. Best of all, you’ll earn your Four C Certificate of Corporate Compliance Core Comprehension and up to 17.4 CEUs*. A note on pricing: For 35 tokens, you’ll have an enterprise-wide license that is available to all your compliance people. Have a smaller team? Cool. Licences are 8 tokens per person. Contact us for details. *As awarded by the Compliance Certification Board

    Wildly Effective Compliance Officer Foundations Course (enterprise edition)

    I’ll fill you in on a secret: striving to be just effective is so 2000 and late. Use this resource-packed online course to train up your newbies and level up to become a wildly effective compliance team. Broken into three overarching themes, the...

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  • Introduction to Behavioral Science

    Introduction to Behavioral Science

    Since you’re a member of Compliance Design Club, you’re already familiar with how Behavioral Science-led methods can deliver better Compliance outcomes. Wouldn’t it be great if you could use those same techniques in developing your...

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  • Compliance Project Planning Toolkit

    Compliance Project Planning Toolkit

    Spinning your wheels is only fun if you're drag racing in an IROC Camaro. Keep your projects tight, focused, and measurable with this brutal strategy kit. Never let a project wither and die again due to “wait, why are we doing this?”...

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  • Template: Annual Board of Directors Program Overview

    Template: Annual Board of Directors Program Overview

    Prepping for your yearly status check? No need to start from scratch. Here’s how to streamline. Nail your annual program overview with 17 prepared, customizable slides that are framed around the Federal Sentencing Guidelines. Use the structure...

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  • “Bringing Behavioral Science to Compliance” is a practical workshop that follows on from the “Introduction to Behavioral Science” course which is also available in Compliance Design Club. By the end, participants will: Learn a practical framework that will enable them to begin implementing behavioral interventions; and Understand some of the most common applications for Behavioral Science within a Compliance context Structure The workshop consists of three units: a 30 min pre-workshop consultation session designed to allow me to understand the specific challenges you're facing in your Compliance program; a 1 hour interactive workshop during which I'll teach you a practical BeSci framework, that you can deploy right away in your Compliance program a 45 min post-workshop follow-up session to help you get the most out of the framework. Materials To support the workshop, you’ll initially receive: a pre-workshop questionnaire to help identify areas where Behavioral Science interventions can have most impact in your organization; After the consultation you'll receive a customized eWorkbook containing: a summary of the practical framework; copies of the materials I will be using in the presentation worksheets to facilitate implementation in your program; and suggestions for implementations. After the training you'll also receive an audio (MP3) summary of the framework.

    Bringing Behavioral Science to Compliance

    Bringing Behavioral Science to Compliance is a practical workshop that follows on from the Introduction to Behavioral Science course which is also available in Compliance Design Club. By the end, participants will: Learn a practical framework that...

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  • Policy Template

    Policy Template

    Break down your company's policies into an efficient explainer of what is OK, what isn't, and whom to contact with questions. This template is a simple, design-forward layout that organizes standard policy information into a format that is massively...

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  • Silo-busting Email Templates

    Silo-busting Email Templates

    You know you need to maintain cross-functional relationships throughout the org to be truly effective, but crafting eloquent, concise, and persuasive messages takes waaaay more time than most compliance pros have.  We got you! These 16 grab-and-go...

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  • Do your employees really get compliance or do they see it as a bureaucratic box-checking exercise they have to do once a year? Reach out to those naysayers (and your ethics cheerleaders) with this inspiring infographic that unpacks why compliance matters—not just to the organization—but to them specifically. Why’s this such a BFD? Once you explain what’s in it for them, they’ll be way more open to listening to what else you have to say, and you’ll be one step closer to adding another compliance champion to the squad!

    Why should I care about compliance?

    Do your employees really get compliance or do they see it as a bureaucratic box-checking exercise they have to do once a year? Reach out to those naysayers (and your ethics cheerleaders) with this inspiring infographic that unpacks why compliance...

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  • Legal and Compliance: Who Does What?

    Legal and Compliance: Who Does What?

    You’ve been asked it; this chart explains it. Set out for your employees the different roles and responsibilities of legal and compliance. Your compliance allies aren’t just in compliance; they’re also part of the legal team. Use this...

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  • We can help! - screensaver

    We can help! - screensaver

    Relay to your whole company that compliance folks are there to help.

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  • We've got your back! - screensaver

    We've got your back! - screensaver

    This muscular piece is a great reminder that compliance is there to support the business for the greater good.

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  • Compliance, ink

    Compliance, ink

    Show off your compliance pride (and share the compliance love!) with this tattoo-themed piece.

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  • We're in this together! - poster

    We're in this together! - poster

    Spread the word that your company's ethics, legal, and compliance teams are ready and willing to help.

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  • Compliance Teams Make the World a Safer Place

    Compliance Teams Make the World a Safer Place

    Your compliance team needs their own boost! Remind them that together, you save the world.

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  • Pre-approvals!

    Pre-approvals!

    Your folks know they're supposed to get things approved ahead of time, but this hard-to-miss piece reminds them that it makes their jobs easier, too.

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  • Regulators have been 100% clear - you need a risk-based third-party program. But what does that mean? And if you already have a program, how can you know if it is truly risk-based? We have the answer. In this course, you'll learn exactly how to build a risk-based program, or to refine the one you have. You'll finally be confident that you have a truly risk-based program. You’ll learn: How to choose your risk model and evaluation criteria (with huge numbers of examples) How to create a risk-based due diligence strategy, using multiple escalating levers How to deal consistently with red flags using the red flag matrix How to use the mitigation toolbox BONUS! Because you’re a Design Club member, your course includes our free Third-Party Risk-Based Program Evaluator so you can see exactly where you’re on track, and where you need to improve.

    Focus Series: Create a TRULY Risk-Based Third-Party Program

    Regulators have been 100% clear—you need a risk-based third-party program. But what does that mean? And if you already have a program, how can you know if it is truly risk-based? Kristy has the answer. In this course, you'll learn exactly how to...

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  • “Risk assessment” and “easy” are rarely uttered in the same sentence. Kristy’s tried and true approach is here to change that by guiding you through every step and handing you the tools to do the job. So instead of stressing, relax and have a little afternoon TEA (Tips, Tools, Templates, and Expert Advice)! This multimedia course will save you a ton of time researching, figuring out a sound methodology, creating spreadsheets (ugh!), and simplifying everything into actionable information. Covering both multi- and single-subject risk assessments, you’ll walk away with a plan, scoring rubric, risk map, presentation to leaders, and over 60 other downloadable materials (plus earn 2.4 CEUs!*). Note: Each single-seat license is 8 tokens. Have a larger team? Cool. Ask us about the enterprise edition. *As awarded by the Compliance Certification Board

    Risk Assessment Made Easy! Course (single seat edition)

    “Risk assessment” and “easy” are rarely uttered in the same sentence. Kristy’s tried and true approach is here to change that by guiding you through every step and handing you the tools to do the job. So instead of...

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  • What Compliance Reports to the Board of Directors

    What Compliance Reports to the Board of Directors

    This plug-and-play deck is designed to help you set expectations with the Board, so they know exactly what types of info they’ll hear from you. It’s a great tool for your Q1 meeting or for new member orientation so you all start off on the...

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  • Writing for Compliance

    Writing for Compliance

    Writing that motivates others to act and follow standards is a talent that doesn’t come naturally to many of us. After years of academic and professional pressure, we default to using fancy schmancy words and over-explaining things—cluttering...

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  • With our exclusive icon system, you can take your policies, Code, presentations, and other guidance to the next level. These sleek, minimalist icons are ready to drag-and-drop into your projects to bridge the gap between our content and yours. You can even give them a color pop with your company colors. Inside this monster, you’ll find 101 standardized icons along with descriptions of how to use them to make your job a breeze! The more your employees see these icons, the faster they’ll know what to do—and the more useful your guidance becomes. This download includes icons and definitions from all five of our icon packs: Bribery and Business Courtesies Characters, Roles, and Miscellaneous Documents, Approvals, and Business Processes Entities and Information Speaking Up and Characteristics Looking for something more detailed and colorful? Take a peek at our standard Icon System here.

    Broadcat Line Art Icon System

    With this tool, you go from “licensing content” to “using a design system.” That's because we created a drag-and-drop visual dictionary to help you bridge the gap between our content and yours.  Inside this monster,...

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  • “Risk assessment” and “easy” are rarely uttered in the same sentence. Kristy’s tried and true approach is here to change that by guiding you through every step and handing you the tools to do the job. So instead of stressing, relax and have a little afternoon TEA (Tips, Tools, Templates, and Expert Advice)! This multimedia course will save you a ton of time researching, figuring out a sound methodology, creating spreadsheets (ugh!), and simplifying everything into actionable information. Covering both multi- and single-subject risk assessments, you’ll walk away with a plan, scoring rubric, risk map, presentation to leaders, and over 60 other downloadable materials (plus earn CEUs!*). A note on pricing: For 40 tokens, you’ll have an enterprise-wide license that is available to all your compliance people. Have a smaller team? Cool. Licences are 9 tokens per person. Contact us for details. *Pending approval by the Compliance Certification Board

    Risk Assessment Made Easy! Course (enterprise edition)

    “Risk assessment” and “easy” are rarely uttered in the same sentence. Kristy’s tried and true approach is here to change that by guiding you through every step and handing you the tools to do the job. So instead of...

    40✨
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  • Video: What does the ethics and compliance team do?

    Video: What does the ethics and compliance team do?

    In this short, targeted training video (0:58), employees will learn how the E&C team puts your organizational values into practice.  We'll cover the "why" of training and policies, your role in overseeing the helpline, and your responsibility...

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  • Broadcat Icon System

    Broadcat Icon System

    With this tool, you go from “licensing content” to “using a design system.” That's because we created a drag-and-drop visual dictionary to help you bridge the gap between our content and yours.  Inside this monster,...

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  • Project Rollout Toolkit

    Project Rollout Toolkit

    Pouring your heart and soul into a project only to have it go over like a lame dad joke is the worst! This toolkit has you covered like a warm, cozy blanket, making the big rollout super simple—we’ve done the hard part for you so you can save...

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