[author: Daria Pavelieva*]
CEP Magazine (October 2024)
Effective communication is one of the core elements of a robust compliance program. At first glance, it seems straightforward: If you have an important change or message, simply send an email to all employees about it. But how would you ensure that, in today’s world of information overload, employees do not miss this communication, review it, and apply it?
This article shares five tips to make written compliance communication stand out. These tips are based on my experience crafting compliance and risk newsletters with global coverage for thousands of employees—with over 75% review rates.
Title
The content isn’t the only essential element for a successful newsletter; the title is too. Along with the sender’s name, the title is the first thing employees see and can influence their decision to open it. For regular communications, consider using a consistent, short, and simple name to build recognition and brand awareness (e.g., “Compliance Digest,” “Compliance News,” “Compliance Newsletter”). Additionally, including specific topics in the email subject line can highlight the content of a particular issue and attract more attention (e.g., “Compliance Digest – Check Out New Compliance Portal” or “Compliance Digest – Important Changes to Anti-Corruption Policy”).
Sender
From experience, emails sent from individual inboxes tend to be reviewed more frequently than those sent from automated, nonpersonalized mailboxes. The sender could be a senior business leader or a compliance team representative, each with its own pros and cons. Having a senior business leader as the sender can attract more attention and convey a strong tone from the top. However, be mindful of the volume of other company-wide communications this person might send in their leadership role so your compliance email does not get lost among them. On the other hand, having a compliance professional as the sender can increase the visibility of that person and establish them as the go-to contact for employees. A good balance might be having the chief compliance officer send compliance communications, as they are both senior enough to make them stand out and specialize in compliance.
Audience
Understanding your audience is key to making communications relevant and effective. Generally, the broader the audience, the harder it is to ensure the content is equally relevant to everyone. Therefore, some messages—such as policy or procedural changes affecting all employees—might be company-wide, while others might be more effective if tailored to specific groups based on business function, role, geography, seniority, etc. For instance, the relevance of information about changes in procurement rules would differ for employees in the procurement department, their internal clients, and the rest of the company, necessitating different levels of detail in and focus on compliance communications.
If the main goal is educational (e.g., reminding employees of certain rules or providing case studies), adjusting the content based on seniority and proficiency may make sense. A basic explanation of the company’s policies and procedures could be more relevant and helpful for junior employees. Senior and middle management are usually more experienced in managing compliance risks and bear more compliance-related responsibilities; they could benefit from a deeper dive into their compliance duties and best practices.
Content
These are the things that employees often find helpful and interesting in compliance newsletters and similar communications:
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Providing case studies and examples to highlight areas of common misunderstanding or misapplication, along with tips for navigating such situations. For instance, if you notice employees using inappropriate language in correspondence, provide examples of inappropriate language and suggestions on how to rewrite it.
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Sharing compliance review statistics and data where appropriate, such as the number of compliance matters reviewed, the share of positive and negative outcomes, prevailing compliance themes raised by employees over a relevant period, timeliness of obtaining necessary approvals, and completion of other compliance procedures, as well as actions taken regarding compliance violations. This can convey several important messages. A high percentage of positive decisions on compliance matters could indicate to employees that most issues are resolved positively (approved), fostering the perception of the compliance function as a supportive partner in enabling business operations. Summarizing prevailing compliance themes can alert employees to topics that may raise concerns and demonstrate that their colleagues actively report these issues. Information about actions taken in response to compliance violations underscores the company’s seriousness about compliance.
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Including short checklists and links to critical compliance resources (policies, procedures, additional guidance) and contacts for questions. Rather than just listing names or a general mailbox, include pictures of the compliance team for better recognition and familiarity.
Ensure the content (text, charts, graphics) is legible and readable on both laptops and smartphones, especially if your company’s employees frequently travel and/or often access emails on their smartphones.
Frequency and timing
The following questions can help you decide on the frequency of compliance communications:
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Given the company’s overall volume and frequency of communications, how much time can employees reasonably be expected to spend on compliance communications? Are there any specific communication norms or preferences among employees at your company?
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Would you have enough relevant content if you decided to issue a newsletter with a certain frequency (e.g., monthly)?
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What is your team’s capacity to write communications on a regular basis?
The key is to strike a balance between maintaining regular written touchpoints with your audience to convey the importance of compliance and not overloading them with information they cannot digest. A combination of ad hoc, targeted communications on urgent issues that cannot wait for the next regular newsletter and regular, bite-sized communications can be effective.
To ensure a high review rate of your communications, also consider the timing. Avoid sending communications during major corporate events or reporting deadlines when employees are likely preoccupied or on days when the company makes other significant communications to prevent overloading employees or diverting their attention. Additionally, consider the time zones of your audience for optimal reading times and determine which weekdays are less busy or can ensure more focus (e.g., midweek or end of the week may be better than busy Monday).
Conclusion
Effective compliance communication is not just about sending a message but ensuring that the message is read, understood, and acted upon. By carefully considering the title, sender, audience, content, and timing of your communications, you can enhance engagement and increase review rates. These strategies—grounded in practical experience—can help ensure that your compliance communications cut through the noise and foster a culture of compliance within your organization.
Takeaways
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Use clear and consistent titles with specific topics in email subject lines to attract more attention and build brand recognition for compliance communications.
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Personalize communications by sending them from individual inboxes—especially from senior leaders or compliance officers—to increase review rates.
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Customize messages based on the audience’s role, geography, or seniority to ensure the content is relevant and effective.
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Include case studies, compliance statistics, checklists, and key resources in your communications to make them helpful and interesting.
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Balance regular and ad hoc communications and consider timing to avoid clashes with major events or deadlines, ensuring higher review rates.
*Daria Pavelieva is a member of the Association of Certified Fraud Examiners and works as a Risk Director in New York, New York, USA.
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