Tone at the top
The client is a world-class leader in pipeline equipment and services solutions. The client’s general counsel identified three issues, being:
- a potential gap in compliance risk identification and mitigation strategies deployed by senior executive management and top-performing mid-level management
- a perceived lack of senior executive buy-in and business ownership regarding compliance risk identification and mitigation
- the need to train the company’s next-generation leaders to take a more proactive approach to compliance within their organisations.
We built a customised case study highlighting compliance and business risks by expanding the company’s business operations into a high-risk environment. The case study identified and solved compliance challenges through:
- root-cause analyses
- effective communication and subject-matter expertise
- due diligence
- behavioural change management.
Following the case study group session, our facilitators split the leadership teams into two groups:
- C-suite team: One principal facilitator led a discussion among the CEO and his direct staff regarding the senior leadership buy-in needed for, and the return associated with, establishing enhanced awareness of the need for ethics and compliance in the workplace. The group discussed topics focused on driving behavioural change in the company using a variety of methods at the leadership team’s disposal.
- Mid-level management team: Another facilitator worked the new mid-level management team through ‘grey area’ ethics scenarios. Each scenario required the team to make a call about the appropriate action to take as a manager, and reinforced the managers’ own communications, behaviour and prioritisations on compliance. The facilitator then walked the managers through a series of self-assessments related to each manager’s leadership style, a compliance and ethics risk assessment, and an action plan to embed compliance into the fabric of their organisations.
HOW LONG DID IT TAKE?
- Two preparatory phone calls and one meeting with the general counsel
- One on-site three-hour workshop with the client’s legal department
- One on-site full-day workshop with the client’s senior and mid-level management at the client’s leadership meeting
WHY THE RED FLAG GROUP?
Great Facilitators. To do this project well needs great facilitators. These are not PPT jockeys but people that can engage a group, facilitate discussion and engage people. We cultivate that skill across the Firm.
- Workshop Content. We are experts at developing great content for workshops. It is engaging, hard and always fun.
- Country Experience. This project was delivered in Eastern Europe and required engaging with 60+ people from over 20 countries.
- Customised case study (built for client’s ‘hot’ compliance topics)
- Customised PowerPoint presentation for mid-level management
- One-page instructional material, ‘Embedding compliance into your organisation’, for mid-level management