Webinar: Those skills they never told you a Compliance Officer needs to

Transcription

1 Webinar: Those skills they never told you a Compliance Officer needs to have March 21, 2018 Society of Corporate Compliance and Ethics 1

2 Agenda 1. Get to know those rules of social behavior that aren t of academic nature, but help to achieve success. Plus 2. A view to the most common mistakes a Compliance Officer makes. Equal to Tips that can change your performance from normal to outstanding 1 1. Rules of social behavior 2 2

3 Written vs. Oral communication WRITTEN More effort to think what you want to express, tough Continues throughout time Can be verified ORAL It is spontaneous, easier Words are gone with the wind It relays on memory It requires listening Id, marriage certificate, record of studies, deeds, policies and procedures all important information is permanent 3 What do I want that person to know? I have a question what are the main methods to launder money? I read an article about laundering money through construction but I doubt it is possible because my cousin works for a construction company and things are not like that. I used to work there so I definitely would say no way, Jose that is not possible! What do you think about it? On the other hand I want to congratulate you because you made me think about my role in this phenomenon that keeps growing. I attended another conference last year and the speaker told us that real estate is another vulnerable activity, what do you think?...and so on 4 3

4 Misspelling that changes the meaning of the expression: (A) (C) (A) (B) 5 (D) (F) (E) (G) 6 4

5 (H) (J) (I) 7 (K) (K) (M) (L) 8 5

6 Tips: -Be clear, direct, but nice -Make sure you have all the key points and facts -Apply quality assurance! 9 In-Effective meetings We ll continue having lots of meetings until we find out why no work is getting done Source: someecards 10 6

7 Before the meeting: Define the objective of the meeting TIP: At the end of the meeting I want the group to Who should attend the meeting? TIP: Postpone the meeting rather than holding it without critical staff members Send an agenda in advance TIP: For frequently meetings, you can save time by creating a template 11 In the meeting: No mobiles allowed Show agenda every time! Respect the time Watch body language > Cover all the points Have an assistant for taking notes 12 7

8 The person who uses the meeting as a cafe The person who uses the meeting to make comments not related to the agenda < After the meeting: Send a summary of the meeting Follow-up TIP: efficient meetings leave people feeling energized and excited about their work, do you see them like that? 14 8

9 My space at the office & the Company s assets 15 Lessons: - Office is not an extension of your home - Company s assets only for business! - Be careful with social networks 16 9

10 They ll treat you according to how they see you and isn t only clothing Arrive on time Mobiles away or on silent Greeting 17 Sit until they tell you! Take notes Don t ask for coffee or food 18 10

11 Clothing Source: 19 Business lunch & events: Do: -Treat them like another meeting -Order foods easy to eat -Control plates & silverware -Say please and thank you Do not: -Order something hard to eat & unknown food -Drink alcohol -Speak with your mouth full or when chewing -Immerse yourself in your dish -Ask to finish anyone else's food -Lick your fingers or silverware -Use toothpicks! 20 11

12 Feelings How you feel about your work and the company you work for, affects your engagement. And lack of engagement affects productivity. -What can you do to change what you are experiencing? -Find something positive about it -Think: this is temporary -Take a deep breath -Force yourself to smile and move on I want to go to the office! instead of I need to go to the office 21 Don t do what others do -Trust your guts, instinct -Do what is right Boundaries: office & house -More time in the office does not mean that you are more productive or irreplaceable -Your brain also needs to relax Here lies the Chief Compliance Officer of who gave his whole life to the company Learn to say Steve Jobs used to say: Focusing is about saying no Apply that! 22 12

13 Supervision-evaluations-supervision The 10 Commandments 1. Supervision should be on a daily basis 2. Supervision should be done by surprise 3. Emphasize good rather than bad 4. Apply written vs. oral communication 5. Focused on results 6. Evaluations must be aligned to job s descriptive position, company or area objectives, performance standards & goals 7. Listen! 8. Do not compare 9. Be objective & honest 10. Respect deadlines Most common mistakes 24 13

14 You are the example to follow, so don t pretend to have all the answers 25 Learn to Always obtain E-V-I-D-E-N-C-E Change scope Do it by surprise! Recommendation should attack the cause OBSERVATION: The legal area is not complying with the data protection law. RECOMMENDATION: That the legal area complies with the data protection law. Carry out follow-up s Rush when it is needed! 26 14

15 Do apologize! 27 Non-verbal language Gestures Facial expressions 28 15

16 Eye contact Postures 29 Tone of voice I am not angry vs. TIP: when non-verbal language matches up with the words you re saying, the combination increases trust, clarity and rapport. When they don t, they can generate tension, mistrust and confusion

17 Observe! - Why is this here? - Look when people think no one is watching them 31 Oh, I thought you knew what I meant Specific & clear Make people repeat what they understood about it 32 17

18 Be accessible Strategic alliances Poker face 33 A Compliance Officer needs to be Plus: independent, objective, ethical and skeptical 34 18

19 Don t forget reminders! Don t interrogate by yourself Say yes to gossip! Use technology to your benefit 35 Be thankful Thank for time, attention, support. Because above all, a sincere thank you is as a facial expression: in all parts of the world it is recognized

20 In case of questions and / or comments Mónica Ramírez Chimal Socio / Partner mramirez@asserto.com.mx Av. Paseo de la Reforma No. 215, floor 3 Col. Lomas de Chapultepec C.P , Mexico, City Phone number: (+52.55)