General Compliance Topics

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  • 1.  Reintroduction

    Posted 15 days ago
    Good morning everyone!

    My name is Jodi O'Neill and I am the Director, Communication and Education Compliance (DCEC) at the Indiana Public Retirement System (INPRS).

    I've been with the agency for 15 years and have served three roles:
    • Marketing and Communications Manager (8 years - managed/created content/channels for 500K active and inactive members, 1,200 employers and 126K retirees),
    • Deputy Compliance Officer (4 years - created the first ground-up compliance program and was the first CCEP in state government),
    • DCEC position (3+ years - using both communication/compliance skill sets to create required communication in an easier-to-read/comprehendible format).

    Although I created a basic ground-up agency-wide program, it all but stopped when I left the DCO position. I struggled with support from executive management in the creation/maintenance of a full-blown compliance program. We had checked the box on creating a basic program and that's where it stopped.

    Although my current role (DCEC) looks great on paper, I do not have the proper resources to do the job I've been assigned. Additionally, my role seems to be a "dumping ground" for tasks/projects that no one wants to do, but need to be done. I am trying very hard to carve out projects that are truly communication compliance to members/employers without taking on projects labeled "compliance" that should fall under our legal department's purview or general member education/communication.

    I am a passionate communicator with 20 years in the marketing/communications field and 7 years of governmental compliance experience. I am happy to help folks with communication/marketing ideas to help get the compliance message out.

    I would like to learn more about how to influence people to consider compliance more than a "box to check" and also tips on how to enhance the culture of compliance.

    I am really looking forward to participating in this group!
    Jodi O'Neill, MSM, CCEP



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    Jodi O'Neill
    Director, Communication and Education Compliance
    Indiana Public Retirement System
    Indianapolis,IN
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  • 2.  RE: Reintroduction

    Posted 15 days ago
    Good morning and a warm re-welcome!

    Like our blue friend below...some good news!  It looks like the only way for you to go is UP!  I know it can be so daunting to be in the position you are in.  Remember what we often hear and read about when compliance pros find themselves in similar positions to yours...and that is...identify the key risks that are facing the organization.  This is often done by some type of risk assessment (doesn't have to be a full blown...2 - 4 week engagement with a 3rd party and can be done internally by your dept of 1)...and this can get the ball rolling in terms of focusing whatever resources you have to the top 1 or 2 risks to get you started.  I know it sounds basic, not like much, etc, etc, etc...but as others have shared...it works.  As a passionate communicator...make sure to keep your leadership current on your activities.

    Patience may be your new best friend for a bit.



    Posted: 7:34 AM AZ time

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  • 3.  RE: Reintroduction

    Posted 15 days ago
    Hi Jodi,

    Given your experience, the concept that follows might be something you already do, but I thought it wise to share as the strategy was super helpful to me.

    In a former life I was a compliance officer who reported to a CFO.  Our CFO was quite wise and taught me that "no" is never the answer; the answer is always "yes", and that it's just a matter of how long and how much it will cost.  What that taught me was to always tie back issues/concerns/tasks to dollars because this is the language the c-suite speaks.  It's one of the most valuable lessons I was ever taught.

    With that in mind, when seeking leadership buy-in, I always attempted to quantify what the risk would cost the organization.  I went beyond fines - think legal fees, cost to repair damage to reputation, cost of reporting breach obligations, etc.  Once the decision makers had the data to support the decision, leadership buy-in and task prioritization became a lot easier.

    Hope this helps!

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    Jon McCollum
    Verify Comply
    www.VerifyComply.com
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