For many organizations, middle- and line-level management set the tone for employees. In the quest to ensure an effective compliance program, this can create a significant challenge, even with a strong tone at the top. This resource center provides compliance officers with a variety of tools and recommendations for ensuring a strong tone from the middle.
Compliance professionals have long appreciated the idea that "tone at the top"—the values espoused and acted upon by the senior management team—is critical to shaping an ethical corporate culture. What's now becoming clearer is that while tone-at-the-top remains important, middle managers play a major role in shaping the culture of the organization and influencing the behavior of their direct reports.
Adult learning experts tell us that employees respond better and retain more information when they encounter key messages in a variety of formats. While e-learning is an important component, today's strongest compliance programs go beyond a core curriculum of online courses.
Well-crafted and well-planned communications campaigns, live learning sessions, mobile products, and manager support tools can amplify your compliance message and increase your program's overall impact.
You’ve established buy-in at the top with support from your CEO and board. Your core compliance and ethics tenets are central to your mission statement and your Code of Conduct is relevant and timely. Even so, your compliance program like so many others may not be effective with many of your employees. This is very likely the result of poor support from your middle management. To respond to this common obstacle, we have developed a best practices package of bundled courseware, and communications tools and resources to enhance corporate tone from the middle and empower middle management.
Kirsten Liston, Associate Vice President - Learning Content Strategy, SAI Global Compliance
Employees look to their direct line supervisors and managers as the model of what is appropriate, acceptable and expected. To support this dynamic in achieving your compliance goals and supporting the roles of middle management as ambassadors of your corporate values, SAI Global has developed the Integrity Advantage Series for Managers that includes tools and guidance to empower middle management to prioritize, deliver and promote your Ethics & Compliance message in their day-to-day activities.
Read this whitepaper to gain insight into developing a framework for establishing a comprehensive and effective tone from the middle, including:
- Defining corporate expectations of roles and responsibilities
- Empowering middle management with the tools and support they need to lead with integrity
- Practical support for manager-led initiatives and reporting
- Embedding compliance and ethics into manager development
Tone from the Middle Blogs
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