When managers should escalate concerns to Compliance [October 2022 Gift]

Oct 1, 2022 7:00:00 AM / by Jaycee Dempsey

It’s no secret that we love leader-led compliance training. We’ve even created a whole line of products based on getting leaders involved

But, as with all good things, it’s possible for your managers to take their compliance involvement a bit too far. Let’s be real: We love empowering our managers and other leaders to handle their teams’ issues, but they shouldn’t handle everything.

And we shouldn’t make them feel like compliance is 100% their responsibility. That’s just not fair. What’s also not fair is expecting them to know intuitively what they can take care of and what should be escalated. 

Snitches don't get stitches. They get help from the compliance team!

Equip your managers with the escalation guidance they need by giving them… 

Broadcat’s “When managers should escalate concerns to Compliance” Job Aid!

Oct-2022-free-gift-halfsie

This infographic covers the major scenarios where your leaders should absolutely NOT take a DIY approach, such as:

  • A leader did not fully address an issue as agreed. Talk about a major blow to creating speak-up culture! If a leader does something to break a colleague’s confidence in the helpline, Compliance needs to know. ☎️  
  • A board member or senior leader is named in a complaint. If this person’s name could end up as a Twitter hashtag or plastered all over CNN, we want to know about it. 🐦 
  • There’s a significant financial or accounting issue. Someone accidentally used the company card to fill their gas tank? Manager problem. Someone reallocated budget money to bribe a senator? Compliance problem. ⛽
  • They don’t know what to do. Your managers might not be able to call their pops every time they’re met with a tough life decision, but at least they can call Compliance when theyre met with a tough compliance decision! 😖

Even More Reasons to Love This Job Aid

This is one of Broadcat’s many job aids that does double duty! Not only can you send it to your managers and other leaders as a periodic reminder of what they should and should not handle, you can also add it to your company’s intranet for managers to check any time they want

Who knew something so informative could also be totally convenient? (You did, you genius, because you’re a member of the compliance team. 😏)

🌟 Bonus Time 🌟

Give your managers even more support handling compliance issues—or escalating them—with these powerful job aids. 

Two ways to get it!

For free: Already a Compliance Design Club Member? Go check your account; it’s already there! (And if you join before November 1, we’ll send it to you directly FOR FREE!)

For 8 tokens: Is it November and you’re still not a Member? First, get on that! Get started here. Second, all is not lost: you can still grab it for 8 tokens.

Jaycee Dempsey

Written by

Jaycee Dempsey

As an expert corporate compliance generalist, Jaycee is responsible for helping Broadcat customers successfully deploy Broadcat’s tools—and prove the compliance team’s value to the business.