The Human Side of Compliance

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By Ling-Ling Nie
Chief Compliance Officer & Assistant General Counsel
Ling-Ling.Nie@us.panasonic.com

How often do you check in with yourself?  From a professional perspective, we all know it’s important to take care of our minds and our bodies so that we can perform at our highest levels.  But, looking at things more deeply, how often do you evaluate your life experiences and think about whether you feel fulfilled and connected to our world?  I know I’m not Tony Robbins or Joel Osteen, and I’m not trying to be (although I confess I am a fan of both).  But, I agree with their general message that there is real value in appreciating the people and the world around you.  The benefit of doing that not only adds meaning to your life, but can actually make you more successful at one of the most critical aspects of our profession—mastering the ability to influence and persuade.

Feel free to disagree with me, but being able to influence and persuade other people differentiates outstanding compliance professionals from their less successful contemporaries.  And the key to perfecting this skill is understanding how to create a personal connection.  Some are born with this talent and can build bridges through inherited attributes as simple as the tone of their voice, their facial expressions, or with personalities with a high degree of empathy (such as middle children, as I wrote about In the Middle of Compliance).

But fear not if being influential and persuasive was not embedded in your genetic code.  Like most leadership skills, it can be learned.  And it doesn’t require hours of reading Harvard Business Review articles (although I am in love with HBR).  Instead, all you need to do is take notice of the people and the environment around you to gain insight into the complex creatures that we human beings are.  These experiences, however fleeting, become a treasure chest of tools you can use to connect with others.

So, talk to people.  Not just people in your social or professional networks.  Talk to people who are seemingly unlike you in every way.  Talk to the gas station attendant that you see every week—ask him where he’s from.  Talk to the flight attendant, your pest control guy, the old lady at the park, the stranger in the cereal aisle at the supermarket—what is their story?  Everyone has a unique background that can add further dimension to your ability to form a personal connection with others.  Being able to see life from the varying viewpoints you’ve discovered will help you facilitate authentic links to people in your organization through your multi-faceted awareness.

Granted, you can’t walk in everyone’s shoes in one lifetime, but you can engage in conversations every day to better appreciate the journeys that shape people’s perspectives and priorities.  Allow people to change you, and you may find you will be able to change others.  This human experience will enrich not only your personal life, but will make it easier to connect with others in a way that will drive your success as a compliance professional.

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2 COMMENTS

  1. Thank you for this post. We need more discussion about interpersonal skills. I hope you write more on this subject. SCCE/HCCA has tried for many years to make sure we focus on all of the elements of a compliance program and the role of the compliance officer. We need to go beyond the idea that a compliance program is all about one element. We need a balanced approach using all the elements of a compliance program and all the skills of a compliance officer. I think we may be lacking in our effort to cover interpersonal skills. Thanks

  2. I love this article – for more than just what it communicates to be a successful compliance and ethics professional, but as human beings. I would also like to see more on this subject.

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