How to gain influence in today's compliance landscape. A recent survey found that 58% of chief compliance officers are not sufficiently integrated into corporate strategy. This presentation, part of the Convercent webinar series, feauture speakers Kristy Grant-Hart, author of "How to Be a Wildly Effective Compliance Officer and Convercent's Director, Europe Keith Read discusses: - The steps to take and questions to ask when making a decision - Persuasion Theory: 5 Principles - Increasing communication and raising awareness of compliance using compliance dashboards in your program For a recording of the July 12 webinar, go here: https://www.convercent.com/lp/webinar-recording-persuasion-influence

1. THE ART & SCIENCE OF
INFLUENCE&PERSUASION
[ ]
A live webinar
Tuesday, July 12, 2016

2. HOUSEKEEPING
* You will receive a copy of the presentation and recorded version of the
webinar via email after the conclusion of the session.
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At the end of the presentation we will do a Q&A session and take as
many questions as we have time for.

3. RACHEL GERACE
MODERATOR
Passionate about creating an exceptional customer
experience, developing brand integrity and securing customer
loyalty, Rachel has been a core part of the Convercent team
since Day One. Now Vice President of Customer Success,
Rachel leads with the customer front of mind, and maintains a
strong commitment to delivering innovative services and
support that anticipate and exceed customer expectations.
With 16 years in the technology sector, Rachel has extensive
experience in developing high-performing teams offering
professional services and support to customers worldwide.
Prior to Convercent, Rachel built and directed Rivet Software’s
Project Management Office, creating scalable processes for
putting technology into customers’ hands. She also served as
Director of Customer Support Services and Manager of Client
Services for Knowledge Factor, where she collaborated on
cost-saving initiatives that resulted in client service efficiencies
of up to 70%. Prior to that, as Manager of International
Business Development for Space Imaging, Rachel engaged in
strategic customer management and was recognized with a
corporate award for exceptional leadership.
Never afraid of diving into new challenges – literally – Rachel
just completed her first Half Ironman, and she sees a full
Ironman in her future. Along with endurance sports, Rachel
loves cross-country skiing and cooking.

4. KRISTY GRANT-HART
PANELIST
Kristy Grant-Hart is the
author of How to be a
Wildly Effective
Compliance Officer. She is
Managing Director of
Spark Compliance
Consulting and is an
adjunct professor at
Widener University,
Delaware School of Law
teaching Global Compliance and Ethics.
She's been featured in the Wall Street
Journal, Financial Times, Compliance Week,
and on the cover of Compliance and Ethics
Professional Magazine. Before launching
Spark Compliance, Ms. Grant-Hart was the
Chief Compliance Officer at United
International Pictures, the joint distribution
company for Paramount Pictures and
Universal Pictures in 65+ countries.
Kristy is an American living in London with
her British husband Jonathan and her two
Californian rescue dogs, Samuel and Mr. Fox.
She can be found at:
www.ComplianceKristy.com or
KristyGH@SparkCompliance.com.

5. PANELIST
KEITH READ
Keith is an award-winning thought leader and expert in
compliance, ethics, culture, bribery, supply chain and
risk management.
He was formerly the Group Director of Compliance and
Ethics for BT (British Telecom) with responsibility for
compliance, ethics and regulatory risk management,
covering 150,000 employees and contractors operating
in some 176 countries. He is a past winner of the
Compliance Register’s Best Compliance Officer Award,
when he also won the Best Compliance Company
award; he was subsequently the subject of a full-page
Daily Telegraph national press article - ‘Compliance and
Science’.
Keith is a frequently requested international speaker,
drawing on his wide-ranging practical experience of
compliance, risk and governance, including the Bribery
Act, Anti-Bribery and Corruption and the Modern
Slavery Act. His thought-provoking ideas and infectious
enthusiasm appeal to diverse compliance, ethics and
governance audiences, and readers, worldwide.
Keith is based in the UK and has a daughter in London
and a son in Sydney. In his free time enjoys watching
football (soccer), woodwork and working with anything
electrical or mechanical.

6. CONTENT REFERENCED
Toolkit
The Art & Science of Persuasion and
Influence
> Will be sent via email after session
Book
How to Be a Wildly Effective
Compliance Officer
> Purchase via Amazon
Book
How to Be a Wildly Effective
Compliance Officer
> Purchase via Amazon
Book
How to Be a Wildly Effective
Compliance Officer
> Purchase via Amazon

7. WHY ARE WE HERE?
* 58 percent of Chief Compliance Officers state
they are not sufficently integrated into corporate
strategy (Global Corporate Compliance & Ethics
Data Survey)
* Over 20 percent say they experience insufficient
staffing
* This is a huge opportunity in the industry for
compliance professionals to gain influence and
hone the art of persuasion across the
organization

8. DEALING WITH
DIFFICULT DECISIONS
* Different business people pose different
risks to the compliance officer
* Some want advice and counsel
* Others have a more corrupt or criminal
purpose
How does a compliance officer know
when to give advice and when to make
the final decision?
“Compliance
told me I
could!”

9. Is it legal?
Is it ethical?
Is it against policies?
Is it a bad idea?

10. COMPLIANCE
DASHBOARD
Send a monthly report to make your organization aware of all the
happenings in compliance. It will give them better visibility into what
you’re working on, provide the opportunity to ask questions and make
compliance top-of-mind.
Training completed in France
and Germany. Scheduled trips
included Vietnam in October
and Laos in November.
BIG SEVEN ANNUAL GOALS PROGRESS UPDATE
#1 Policies & Procedures
#2 Training
#3 Monitoring
#4 Messaging
Re-draft Anti-Bribery Policy
Perform in-person training in
nine countries, including: two
in Europe and four in Asia
based on the risk assessment
Launch Ethics Helpline
throughout Europe.
New Policy has been drafted,
approved and implemented
throughout the company.
Launch of Ethics Helpline
completed in 18 countries.
Launch awaited in 7 additional
because we needed EU data
protection approval.
Implement new Compliance
section of the public-facing
website.
Draft Compliance Section of
the public-facing website
created. Awaiting final approval
before launching.
#5 Due Diligence
#6 Risk Assessment
#7 Governance
Implement Intermediary
Management System. Draft
procedures for risk analysis and
due diligence.
Intermediary Management Contract
signed and implementation complete.
Roll-out ready to begin.
Complete annual risk assessment.
Bring in outside consulting firm to
review program and benchmark
program against similarly sized
companies in our industry.
Intermediary Management Contract
signed and implementation complete.
Roll-out ready to begin.
Create every-other-month calls
with mini-committee.
Call scheduled for [DATE]
Next full meeting [DATE]

11. Create positive experiences
* “What’s in it for me?!”
* If you give a positive experience to people they will want to give
something in return
* For example, change your training tactics such as a print out that usually
gets stuffed in a drawer and create a “compliance passport” with value and
status to the individual
* Make compliance of value and clear reciprocity follows

12. Get out from behind the paperwork
* Compliance traditionally viewed as out-of-touch
* Employees need a basic understanding of the issues while knowing and liking
the people involved
*Bring the message with you and become the face of compliance
* Do this by getting out from under the paperwork and practicing the
“managing by walking around” method

13. Get the initial messaging right
*The Compliance Covenant
*Send something out to your employees that clearly lays the ground for why
compliance is important
*Triggers people to complete their training and not just because it’s a part of
a program but because it’s integral to the company
*Getting the initial messaging right at the outset and focusing effort on
getting people started is more effective than another email chain

14. Make compliance exclusive
*Tailor training to specific audiences (compliance as marketing)
*Making compliance training ‘exclusive’ can be used the same way
* For example, a program only aimed at directors but extended to
other groups sends a powerful message of inclusion, as does a special
program just for managers

15. Guiding decisions and actions
* People tend to look at those they
respect and follow their lead when they
are uncertain about a decision or action
(i.e. those in authority, work mentors,
etc.)
* “Keeping up with the Jones’” mentality
* Social proof is a powerful tool for
driving compliance programs and
training
*Motivating and de-motivating factors

16. Q&A
Thank you.
Kristy Grant-Hart
kristygh@sparkcompliance.com
Keith Read
keith.read@convercent.com
Rachel Gerace
rachel.gerace@convercent.com