Empowering the Middle Manager The “Why” and “How” to Prepare Your First Line Team

Since US Federal Sentencing Guidelines came into play, the two cornerstones of effective compliance have been to lead with “tone at the top” and follow through with “tone at the middle”. Without empowered middle managers, it’s difficult to see how a compliance program can be effective, especially with the advent of Dodd-Frank.

Empowering middle managers involves holding them accountable for modeling desired workplace behavior as well as equipping them with the tools and a business process that protects the business, helps build organizational integrity, and prepares them for their compliance and ethics responsibilities as managers. A holistic approach to building culture and improving communication is essential since not only do 56% of all reports of misconduct come through first-line supervisors (recent NBES data) but also because the reputational and financial penalties of Dodd-Frank are so severe.