THE ART & SCIENCE OF

INFLUENCE & PERSUASION[ ]A live webinar

Tuesday, July 12, 2016

HOUSEKEEPING

* You will receive a copy of the presentation and recorded version of the webinar via email after the conclusion of the session.

* You have joined today’s session listening through your computer’s speaker system by default. This means, if you can hear the music through your computer, you will be able to hear the presentation.

* If you would like to call-in using a phone, locate your Audio Pane and select Use Telephone. The dial-in information and access code will then be displayed.

* Please type your question(s) and click “Send” in the Questions Pane. At the end of the presentation we will do a Q&A session and take as many questions as we have time for.

RACHEL GERACEMODERATOR

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 o�ering professional services and support to customers worldwide. Prior to Convercent, Rachel built and directed Rivet Software’s Project Management O�ce, 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 e�ciencies 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.

KRISTY GRANT-HARTPANELIST

Kristy Grant-Hart is the author of How to be a Wildly E�ective Compliance O�cer. 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 O�cer 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.

PANELISTKEITH 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 O�cer 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.

CONTENT REFERENCED

Toolkit The Art & Science of Persuasion and

Influence

> Will be sent via email after session

BookHow to Be a Wildly E�ective

Compliance O�cer

> Purchase via Amazon

BookHow to Be a Wildly E�ective

Compliance O�cer

> Purchase via Amazon

BookHow to Be a Wildly E�ective

Compliance O�cer

> Purchase via Amazon

WHY ARE WE HERE?

* 58 percent of Chief Compliance O�cers state they are not su�cently integrated into corporate strategy (Global Corporate Compliance & Ethics Data Survey)

* Over 20 percent say they experience insu�cient sta�ng

* This is a huge opportunity in the industry for compliance professionals to gain influence and hone the art of persuasion across the organization

DEALING WITHDIFFICULT DECISIONS

* Di�erent business people pose di�erent risks to the compliance o�cer

* Some want advice and counsel

* Others have a more corrupt or criminal purpose

How does a compliance o�cer know when to give advice and when to make the final decision?

“Compliance told me I could!”

Is it legal?

Is it ethical?

Is it against policies?

Is it a bad idea?

COMPLIANCEDASHBOARD

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 Franceand Germany. Scheduled tripsincluded Vietnam in Octoberand 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 innine countries, including: twoin Europe and four in Asiabased on the risk assessment

Launch Ethics Helplinethroughout Europe.

New Policy has been drafted,approved and implementedthroughout the company.

Launch of Ethics Helplinecompleted in 18 countries. Launch awaited in 7 additionalbecause we needed EU dataprotection approval.

Implement new Compliancesection of the public-facingwebsite.

Draft Compliance Section ofthe public-facing websitecreated. Awaiting final approvalbefore launching.

#5 Due Diligence

#6 Risk Assessment

#7 Governance

Implement IntermediaryManagement System. Draftprocedures for risk analysis anddue diligence.

Intermediary Management Contractsigned and implementation complete.Roll-out ready to begin.

Complete annual risk assessment. Bring in outside consulting firm toreview program and benchmarkprogram against similarly sizedcompanies in our industry.

Intermediary Management Contractsigned and implementation complete.Roll-out ready to begin.

Create every-other-month callswith mini-committee.

Call scheduled for [DATE] Next full meeting [DATE]

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 stu�ed in a drawer and create a “compliance passport” with value and status to the individual

* Make compliance of value and clear reciprocity follows

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

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 e�ort on getting people started is more e�ective than another email chain

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

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

Q&AThank you.

Kristy Grant-Hart

kristygh@sparkcompliance.com

Keith Read

keith.read@convercent.com

Rachel Gerace rachel.gerace@convercent.com