Whether you are starting from scratch or refining a mature program, developing a strategy is crucial to a program’s success. It determines the areas of focus, aligns resources with the most important aspects of the program, and ensures that the program supports company goals.

Principle Compliance can assist you with:

Risk assessment
Program evaluation against accepted framework
Strategy workshops with executives and compliance team
Multi-year program planning


Arguably the most important element of an effective ethics & compliance program, training and communication must be well thought-out and strategically administered. Even the best-written policies are useless if employees don’t know about them.

Beyond knowledge in the subject matter, equally important are skills in change management and marketing when it comes to truly influencing behavior.

Principle Compliance can assist you with:

Planning and execution of training and communication activities
Training content development: online training modules, live-training modules, train-the-trainer
Communication content development: Board presentations, intranet, blog posts, newsletters
Delivery of live-training sessions
Ethics presentations


A good Code of Conduct is one that sets the tone, values and standards for the company, inspires ethical behavior, and lays the foundation for the ethics & compliance program.

A great Code of Conduct is one that is used. Engaging design and well-written content is important, but even more so is the way it is launched, referenced in day-to-day situations, and consistently enforced.

Principle Compliance can assist you with:

Design and development of the Code in multiple formats
Engagement strategy to enhance adoption
Manager tools to sustain engagement
Protocol to drive consistent enforcement


Compliance initiatives are challenging because of the lack of resources, subject matter expertise, project management experience, change management, or all of the above. Coupled with the demanding day-to-day workload of a typical compliance department or resource, it’s no wonder that some beneficial projects don’t even get off the ground.

Principle Compliance can assist you with:

Initiatives such as: vendor selection, training system and hotline implementation, third party due diligence
Project planning, tracking and execution
Cross-functional collaboration