Is it working?

Assessing and improving the program

Is it working?

Assessing and improving the program

Does your company analyze the impact on employee behavior of its compliance training program?

Is there something that could help improve your company’s employee compliance training program?

The survey results indicate a potential lack of introspection when it comes to the effectiveness of compliance training. Asked whether their company analyzes the impact on employee behavior of its compliance training program, just 26 percent say yes, 40 percent say no and around a third (34 percent) don’t know.More respondents at larger companies say their firm conducts an analysis, with 32 percent of mega-caps and 29 percent of large caps doing so, compared with 23 percent at small caps and 24 percent at mid-caps.The percentage of respondents who don’t know whether such analysis takes place also grows with company size, from 21 percent of those at small caps to 56 percent of those at mega-caps.The number of respondents reporting that their company conducts an analysis is broadly consistent across the regions, at 27 percent of those in the US, a quarter (25 percent) of those in Europe and 22 percent of those in Canada. But there is much more awareness as to whether or not an analysis takes place among those in Europe, where just 18 percent don’t know, compared with 32 percent of those in Canada and almost half (44 percent) of those in the US.Given this relative lack of analysis, it is perhaps not surprising that most (64 percent) respondents don’t know whether there is something that could help improve their company’s employee compliance training program. Around a fifth (21 percent) of all respondents say something could be done to improve their program and 15 percent say there isn’t anything.Those at mid-cap companies are most likely (36 percent) to say something could be done to improve their program, compared with 19 percent of those at small caps, 16 percent at large caps and 8 percent at mega-caps. Respondents in Europe are slightly more likely (25 percent) to say there is an opportunity to improve their program than those in Canada (19 percent) or the US (16 percent).CommentsAsked what could help improve their company’s employee compliance training program, respondents say:

‘Consistency in training’ – Africa, small cap

‘Top-down support’ – US, mid-cap

‘Including additional executives in training video, and additional polish once we have more years under our belt running the program’ – US, small cap

‘More targeted versus general training’ – US, mid-cap

‘We have three short training courses per year. More courses would help’ – Europe, mid-cap

‘Linking to performance’ – Latin America, small cap

‘More resources’ – Europe, mid-cap

‘Resources! True buy-in from the top and not lip-service check-the-box exercises’ – Canada, small cap

‘More resources’ – Europe, mid-cap

‘Live training in every local language’ – US, mid-cap

‘Training focused on areas that are high risk and training that allows self-evaluation’ – Asia, small cap

‘Perhaps more case studies’ – Asia, small cap

‘Better consistency in rolling out the training program. Some markets or functions are better at this than others, so ensuring good consistency everywhere can be difficult’ – Europe, mega-cap

‘Better tracking of compliance’ – Europe, mid-cap

‘More robust program with accountability and consequences for non-compliance’ – Canada, N/A

‘We are trying to be more intentional and make it easier for our employees’ – US, mid-cap

‘More interactive online training. Use of AI/analytics and bots to answer questions from the employees’ – US, mid-cap

‘Requirement to measure and report results’ – Canada, small cap

‘More online programs that can be easily and with small incremental cost customized or updated to be company-specific’ – US, mid-cap

‘Culture change’ – US, N/A

‘More frequent training on discrete issues to have continual dialogue’ – US, mid-cap

‘More internal resources and budget to establish a strong compliance program that includes training and monitoring’ – Canada, large cap

‘Larger selection of training courses and more time to complete courses’ – US, small cap

‘Increased frequency of messaging’ – US, large cap

‘You can always do better: more focus to identify weaknesses in understanding, process and practice and then focused support and guidance for employees in these areas’ – Europe, large cap

‘Use of materials prepared by experts’ – Canada, small cap

‘Higher volume of in-person training’ – US, large cap

‘More time. Regulatory changes are constantly evolving and being updated and so getting earlier notification of what changes are being proposed will help with the planning for how new obligations are trained in’ – Europe, small cap

‘Dedicated resources’ – US, small cap

‘Hiring a professional to take care of employee compliance training program, as soon as the business becomes big enough to support that’ – Latin America, small cap

‘Better adaptation of the course material to non-US jurisdictions’ – Europe, mid-cap

‘More resources to focus on building the program’ – Europe, large cap

‘Elevation of conduct expectations to more than just complying with existing rules, discussion of ethical principles and standards of behavior’ – Canada, N/A

‘Leadership by example and constant training’ – Africa, mid-cap

‘More digestible, less dense materials’ – US, mega-cap