From Policy to Practice: Bridging the Gap Between Policy Creation, Testing, and Employee Engagement

Examiners are looking beyond whether a policy exists. They want to understand whether employees know what the policy requires, whether leadership models the expected behavior, and whether the firm can demonstrate that its compliance program is operating effectively.

Join Barbara Engle, Enhanced Compliance Consultant at Comply, and Alison Cooley, Sr. Director of Product Marketing at Comply, for a practical discussion on how firms can connect these three critical pillars – policy creation, compliance testing, and employee engagement – to build a culture that is not only documented, but demonstrable.

What We’ll Cover

• How to move policies from “paper compliance” to practical implementation
• What effective testing can reveal about culture, controls, and employee behavior
• Why tailored, ongoing training matters more than annual check-the-box education
• How leadership can reinforce accountability and ethical conduct across the firm
• Common red flags examiners may notice, including stale policies, unclear escalation paths, low employee engagement, and over-reliance on technology

WATCH THE RECORDING