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By Adam Turteltaub
adam.turteltaub@corporatecompliance.org
Sometimes the compliance department isn’t so much of a department. It may be just one person responsible for the program, and he or she may be wearing other hats as well. That’s the case for Jane Brown, Chief Compliance Officer and Director of Business Operations for THD America.
When stepping into a solo role, the first thing she advises doing is conducting a thorough risk assessment and assessing the current program to get an inventory of the policies and procedures you have and the gaps you need to fill. Then it’s time to start on your remediation plan.
Once you get started, she points out in this podcast, be prepared for both unique challenges and some surprising assets. In a smaller organization you’re not as likely to have as many resources, including something as fundamental as an audit function. However, you’re likely to benefit from being on a first-name basis with every key leader, greater nimbleness, and an ability to act quickly. You’re probably also in an environment where it is easier to ask to borrow staff from other departments for projects, but just watch out for any potential conflicts of interest that staff member may have.
Listen in as she discusses how to gain management support, gain resources, manage your time, and get the feedback you need.
This is so me!!! Great comments and suggestions. I would love to chat about a risk assessment as I’m struggling with what to do exactly. The auditing piece is very challenging but I do actually have an audit plan this year. I would love to share ideas if Ms. Brown has time to correspond. Thank you so much!
Hi Terri! That is so great to hear! Let’s connect! I would love to chat and share ideas. You can find me on LinkedIn – https://www.linkedin.com/in/janesbrown/
I too am a compliance department of one and the challenges expressed by Ms. Brown have definitely hit home. So nice to know I am not alone. I develop an audit plan every year, but it appears the emerging issues pull me away from the actual plan. Prioritizing is difficult for me as I want to solve everything that comes across my desk. I really like the idea of utilizing staff from other departments to cross train them to assist with audits. Would love to reach out to Ms. Brown to discuss more.
Thank you for this excellent podcast.
Diane! I would love to learn more about how you develop your audit plan. Let’s connect on LinkedIn: https://www.linkedin.com/in/janesbrown/ I look forward to chatting with you.
I am currently doing all of the Compliance work as the only compliance person working at my organization and we currently have 5 health clinic sites and 2 mobile vans. This podcast resonates with me as I can definitely relate. Compliance sees a lot of what goes wrong in the organization from incidents to subpoenas, so it can be a lot of pressure being such a key role in the problem solving organization-wide. Thank you for this.
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