Welcome to Another Posting from Beyond the Horizon
I am back in the compliance business, again, with a great group of professionals. One of my observations while I was off doing other things is that there are a tremendous number of materials available to compliance professionals on what we need to do as part of our job. It’s exhausting and overwhelming!
What is missing in my opinion is not what to do, but how to do it!
So as part of my return to the compliance world I want to share a few things on a regular basis that I think will help those of us in compliance to have more success in our roles. First and foremost, it is critical that compliance professionals understand the business, how it works at your firm and why! If you do not understand the business, how can you provide good advice and counsel? While that sounds flippant, it is a real question on my part.
So how do you “know” the business? Intellectual curiosity is key, and you need to put yourself out there both internally and externally to understand the industry. Do you belong to and attend industry groups such as NSCP? How often do you read the Wall Street Journal? Forbes? When did you last sit down to ask business questions to your leadership team? This is how you enhance your skills and your value to yourself and the firm!
This is the first of a three-step process in our organization that we will share, but if you need more information and coaching, please reach out to me. I have over 25 people in my coaching tree that are currently CCOs and I would love to help more of you reach your full potential.
Until next time, be safe out there!
Originally published as a Beyond the Horizon posting, November 24, 2025. Download the original PDF