Compliance Heaven™ is rooted in Guiding Principles #2 , #3 AND #6

Everyone must win.

Honesty, Service, & Competence.

Making mistakes is a natural byproduct of trying.

Compliance departments serve organizations by being proactive in preventing mistakes and minimizing negative impact on the organization when they do happen. However, rules and regulations tend to create a divide between those that uphold them and those that are forced to follow. This can lead to a negatively charged work environment. That’s true whether the business is supporting a CPA, a lawyer, a financial advisor, or a medical professional.

Compliance Heaven™ is only possible with a high quality team of professionals that respect each others specialties and share a common goal: Honesty, Service and Competence. This mutual respect allows a proper compliance system to be built and allows everyone to win.

We believe there is not one specific structure that works for every organization, but rather there is a pathway can help guide your organization to Compliance Heaven™.

There are some things we believe you should be asking yourself to help define the best compliance structure for your company:

1. Who decides your rules and regulations?
2. Who enforces those standards?
3. How are they enforced?
4. What is the standard deviation for error?
5. What are your current pain points? How can they be avoided?

There are also some key concepts to follow:

1. Develop clear & concise expectations as a Team.
2. Follow a standard that is unique to YOUR company's needs.
3. Keep it simple.
4. Form a direct line of communication.
5. Focus on risk management, NOT risk avoidance.

It is likely there is a current compliance environment that does not allow for everyone to win, but with some simple tweaks and defining the right compliance system for your specific needs, Compliance Heaven™ can be achieved.

The following is a visualization of one aspect of what that wonderful work environment might look like to an “A+” level compliance department.