Your Complete Compliance Toolkit
Tips, Tricks and Insights

Learn the art of persuasion and influence to make compliance waves across your organization

Have you ever had a struggle or conflict with a colleague about something being legal and how and when compliance should intervene? Have you ever questioned what your role actually is as a compliance officer and what that translates into for your organization? It may seem like a line drawn in the sand, but the tools you need to make that line more definitive are contained within our toolkit. 

The lines can be fuzzy, and what’s even more of a gray area is when to know to draw a hard and fast line and when to lend your expertise across your organization.

It’s about knowing when and how to make the right kind of decision for approval, sometimes, a decision just isn’t yours to make no matter how influential or dependent compliance becomes, says Kristy Grant-Hart, co-author of our latest asset “The Art and Science of Persuasion and Influence.”

Designed as a toolkit for modern compliance officers and practitioners, its goal is to help enable you to make ethical decisions while gaining influence and setting appropriate boundaries and establishing clear expectations of a compliance function.

As Kristy points out in the video below, there is a fine line between not having enough influence and having too many departments and people depending on compliance to make every single decision.

It’s the job of the compliance professional to analyze the risk the situation may pose and relay your analysis back to the business. By drawing that boundary line you are enabling employees, and setting the stage for them to make their own decisions based on the ethical practices and decision process you have exemplified and shared.


At our latest Compliance Tech Talk in Minneapolis, CEO Patrick Quinlan challenged attendees to think of the compliance department as the marketing department – compliance being the product and the audience being your employees. This analogy touts on the fundamentals of human behavior and the social science behind persuading and influencing decisions in the moment.

Today, we released our latest resource “The Art & Science of Influence and Persuasion” taking the form of a toolkit. which couldn’t have come at a better time. Many compliance officers and practitioners tell us at Tech Talk events and industry conferences that aside from not even having a dedicated compliance function in their organization, it’s growing more difficult to influence and persuade the business and C-suite that compliance is a game changer and business enabler – especially on the heels of new regulatory mandates and increased scrutiny for companies to act in and cultivate ethically-driven cultures.



Consero tells us that 58 percent of chief compliance officers state they are not sufficiently integrated into corporate strategy, we believe that number to be higher. Many compliance professionals work under different titles such as HR or legal and take on compliance as a secondary or even tertiary responsibility. And many of those professionals lack the resources to build a more robust team due to a lack of influence and/or persuasion skill to make their case.

Compliance has come a long way in a short timeframe. While there have been strides in getting compliance into the C-suite, the struggle is real when it comes to driving influence. With 78 percent of executives reporting to the PwC their concern of regulatory impact on business, compliance professionals need now more than ever to engage with leadership to reduce this pressure.

PwC’s State of Compliance 2015 Survey’s insights point to this shift and validates the need for influence and persuasion in this space:

  • “To adopt a more strategic role and identity, compliance chiefs should expand their vision of the function beyond the legal aspects of compliance and become even more relevant to the business.”
  • “To meet rising demand with shrinking resources, compliance teams must find new ways to increase operational efficiency and effectiveness through technology and innovative staffing models.”

We are the culture bearers, we are the standard holders, and we protect the company in five years’ time…” – Kristy Grant-Hart

Align and equip yourself to succeed with your compliance responsibilities while safeguarding your company and staying in good standing with your regulators.

Inside your toolkit, you will have access to:

  • A Compliance Dashboard Template
  • A Compliance Officer Decision Tree Template
  • 5 Principles of Persuasion
  • Exclusive interview with Kristy Grant-Hart


Download your toolkit

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