By Adam Turteltaub

Sometimes the compliance department isn’t so much of a department.  It may be just one person responsible for the program, and he or she may be wearing other hats as well.  That’s the case for Jane Brown, Chief Compliance Officer and Director of Business Operations for THD America.

When stepping into a solo role, the first thing she advises doing is conducting a thorough risk assessment and assessing the current program to get an inventory of the policies and procedures you have and the gaps you need to fill. Then it’s time to start on your remediation plan.

Once you get started, she points out in this podcast, be prepared for both unique challenges and some surprising assets.  In a smaller organization you’re not as likely to have as many resources, including something as fundamental as an audit function.  However, you’re likely to benefit from being on a first-name basis with every key leader, greater nimbleness, and an ability to act quickly.   You’re probably also in an environment where it is easier to ask to borrow staff from other departments for projects, but just watch out for any potential conflicts of interest that staff member may have.

Listen in as she discusses how to gain management support, gain resources, manage your time, and get the feedback you need.