There is no one-size-fits-all approach to compliance.
Regardless of an organization’s size, industry, or business model, government agencies, industry associations, and compliance best practice guidance consistently point to several key components of an effective compliance program: standards, policies and procedures, monitoring and assessment, continuous improvement, and – last but certainly not least – training and education.
The U.S. Department of Justice, in its most recent Evaluation of Corporate Compliance Programs, presents three “fundamental questions” prosecutors consider when assessing a company’s compliance program. The first, “Is the corporation’s compliance program well designed?”, explicitly includes a substantive section on training and communication.
Similarly, the UK’s Serious Fraud Office, in its Guidance on Corporate Cooperation and Enforcement, emphasizes that determinations of cooperation will consider whether “adequate procedures” were in place. Pointing to earlier guidance, the SFO refers to the Ministry of Justice’s Bribery Act 2010 Guidance that outlines six principles for ensuring adequate procedures are in place, including Principle 5, which is specifically focused on communication (including training).
The OECD has also published extensive guidance on building and evaluating compliance programs. Its 2024 publication, Companies’ assessments of anti-corruption compliance, highlights the importance of “…periodic communication and documented training for all levels of the company…to ensure awareness….”
Yet even with all this guidance, it is the practical, day-to-day application of compliance within an organization that ultimately determines whether a culture of true compliance takes root. As always, the “how,” not just the “what,” will define a program’s effectiveness.
What “Effective” Compliance Looks Like
Ask 10 corporate training professionals to define “effective” compliance, and you will likely hear 10 different answers. For clarity, let’s assume the ultimate measure of effectiveness is behavior change.
We have all used the familiar catchphrases in our training materials: “do the right thing,” “act ethically,” “speak up.” But the real question is: Once the learner returns to their desk after completing training, what do we want them to do? At its core, compliance training aims to help employees exhibit behaviors aligned with company values, compliance obligations, and the law.
So how can effective compliance be achieved? How can one effectively influence the way learners think? What strategies can be employed that will act as a trail of “breadcrumbs” guiding the learner to recall the principles addressed in earlier training?
Research offers clear direction. An OECD report, Trends in Adult Learning, notes that informal learning embedded in day-to-day activities and interactions is a critical component of adult education. Historical literature echoes this, emphasizing that adult learning is rooted in real situations and that the learner’s experience is the most valuable resource.
In short, compliance effectiveness is achieved through doing. Learners must be activated, not merely informed.
How to Achieve Learner Activation Through Compliance Messaging
To dig deeper into the “how,” consider structuring training around a learning cycle rather than a one-time, static event. David Kolb’s Learning Styles Theory, summarized by SimplyPsychology, stresses that “experience is the foundation of learning…[and] application of knowledge is essential.”
Gone are the days of 45-minute, text-heavy computer-based training modules. Today’s workforce expects training to be engaging, personalized, succinct, relevant, practical, and, yes, even enjoyable. Even with dispersed, remote, or hybrid teams, organizations can still design blended and asynchronous learning experiences that support continuous, cyclical learning.
Learner activation can take many forms:
- Live engagement: Invite a compliance team member to join monthly or quarterly sales meetings to listen in for common challenges and provide real-time guidance.
- Microlearning: Use off-cycle training periods to deliver short, targeted reminders highlighting key do’s and don’ts.
- Compliance week campaigns: Host company-wide contests to elicit creative, business-friendly compliance slogans or concepts.
- Seasonal touchpoints: Use holidays to deploy short “brain-break” activities, such as games, videos, or employee vignettes, that reinforce compliance themes.
The key is involvement. Scenario-based training and basic refreshers are not enough on their own. For content to stick, learners must actively participate in the learning process.
Fortunately, there is a wide range of cost-effective technologies companies can tap into to support continuous learning, enabling personalized drip campaign strategies tailored to specific roles, demographics, and compliance risks.
“Compliance effectiveness is achieved through doing. Learners must be activated, not merely informed.”
Conclusion
Training and communication are not merely components of a compliance program; they are the mechanisms through which compliance becomes real, sustained, and actionable. Regulations and frameworks may outline what organizations should do, but it is the thoughtful, consistent application of training strategies that determines whether employees internalize, remember, and act on those expectations.
By embracing continuous learning, leveraging diverse communication channels, and activating learners through experience-driven engagement, organizations can move beyond checking boxes and instead build a culture where compliance is not just understood but practiced. Ultimately, it is this commitment to ongoing education and to meeting learners where they are that transforms compliance from a policy requirement into a shared organizational mindset.
By Sunny McCall and Blaise Stanicic