Ten soft skills of a compliance officer as a change agent

March 9, 2017

1. Agile and flexible.

2. Appreciates differences on people and cultures.

3. Understands colleges' emotions.

4. Good negotiator with persuasive skills.

5. Looks at things from multiple perspectives.

6. Good communicator and listener. 

7. Takes criticism well.

8. Personable and connects with the audience well. 

9. Builds trust.

10. Compassionate with enforcer tenacity.  

Introducing change also needs to rely on a cohesive company culture. Before launching any new programme, compliance officers have to ensure that trust is there. If the company’s previous attempts at change did not fulfil their promise, the best approach is to recognise and take responsibility for that, and explain why it will be different this time to get employees’ trust before moving on.

“At the end of the day, changing culture is about changing the behaviour of each and every person that contributes to the fabric of the company. Changing someone’s behaviour is done by understanding the reasons why the person acts in a certain way. Looking at people’s motivators and adjusting them through a series of incentives and disincentives will generally steer their behaviour in a certain direction. If you get enough people heading in that direction, a culture will develop,” Mr. Lane says.

A good change agent has to be very flexible, have superior communication and, just as importantly, listening skills that help them pick out people’s real concerns and understand better the group dynamics.

Good communication starts with painting a vivid and detailed picture of how the changes will benefit all stakeholders. Sharing a road map will demonstrate clear guidelines, training and tools, so that staff can see how they will navigate the change process.

To avoid any misunderstanding and gauge employees’ concerns, compliance professionals should organise a Q and A session right after the direction is outlined in detail, with mission, vision and strategy to get there, and ensure all milestones to achieve are clearly outlined.

A good change agent has to be very flexible, have superior communication and, just as importantly, listening skills that help them pick out people’s real concerns and understand better the group dynamics.

Good communication starts with painting a vivid and detailed picture of how the changes will benefit all stakeholders. Sharing a road map will demonstrate clear guidelines, training and tools, so that staff can see how they will navigate the change process.

To avoid any misunderstanding and gauge employees’ concerns, compliance professionals should organise a Q and A session right after the direction is outlined in detail, with mission, vision and strategy to get there, and ensure all milestones to achieve are clearly outlined.

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