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I have had the opportunity to interview several candidates this past year for various compliance and privacy positions. It has struck me that those I have hired and who have been successful in their roles when joining the organization have always asked the same question: “What makes a successful compliance professional?” To me, that question is both insightful and important. In my experience, there are several key skills that enhance individuals’ effectiveness in our profession.

I have listed my top 10 factors for a successful career in the compliance profession. Some of you may agree with all of them, a few of the items listed below, or you may even have others that are not on my top 10 list.

1. Understanding the detail: Understanding and communicating the “why” of the situation is essential. You cannot do that unless you understand all the details involved in the assignment. Compliance can be confusing as there are a variety of factors, regulations, policies, and processes to consider. Whether the assignment is to develop a policy, conduct an investigation, speak with an employee about a concern, or provide compliance training, it is critical to understand the details of the matter and your purpose in the situation so you can move forward effectively. Once you understand your purpose, you can more effectively communicate the why of the situation, and people may be more apt to listen to you when they understand the rationale and the why. That starts with understanding all the details and communicating them to the stakeholders.

2. Professional presentation and your energy matter in every encounter: How you present yourself as an individual matters, whether it is the first time you meet someone, or it is a person you work with on a routine basis. If you are upbeat and attentive, you convey a positive energy that, no matter the topic of the interaction, will be engaging. People are drawn to professionals with positive energy. There is an adage: it is not what you give someone, it is how you make them feel. Communicating with workforce members such that they feel seen is essential. Certainly, issues we need to address in our roles are not always positive; however, we can be professional and engaging with others, no matter the discussion topic. The ability to engage and effuse positive energy will encourage others to seek your guidance and counsel.

3. Follow up and manage your time: Be cognizant of what is on your to-do list and follow up. Successful individuals in compliance follow up appropriately and do not let things drop. Given the many responsibilities of compliance professionals, it is crucial to follow up and document issues to ensure they are addressed. This requires attention to how you spend your time on matters, and if you cannot resolve the issue on your own, it is vital that you raise the issue through your chain of leadership. It is also necessary that you raise concerns if you are not clear on your priorities. Let coworkers know if you cannot “chat” when they stop by your desk or reach out for a virtual coffee. It is acceptable to ask for help from others if you need it, especially those who are newer in their roles. From my perspective, I would rather staff ask for help, so priorities can be addressed and even reassigned rather than miss deadlines.

4. Do what you say you will do, when you say you will do it: This is a high focus area for me. If you tell someone you will get back to them by Wednesday, you need to get back to them by Wednesday, even if the answer is “I don’t know the answer to your question yet, but I am working on it.” Following up when you said you were going to do so builds confidence. Confidence in you builds trust in you as a professional. Trust builds teamwork and sharing information between you and your stakeholders to allow you to do your work. We only know what is reported to us, or we see firsthand. That means we need our workforce members to trust us and the compliance process to be effective in our roles. 

5. Listen to verbal and nonverbal cues: This is imperative since actively listening to staff sharing their concerns or providing answers during an investigation gives the compliance professional the data needed to perform the task. People will also communicate without saying anything, meaning nonverbal communication is just as significant as the spoken word. Effective compliance professionals take notice of nonverbal cues such as eye contact and conversational tone, and avoid engaging in escalating verbal exchanges. Listening to both verbal and nonverbal cues will enhance trust between a compliance professional and the workforce. 

6. Do not tell yourself a story: Successful compliance professionals do not prejudge a situation. It is easy to tell yourself a story about how likely an incident may have occurred, or what the person thought before they did or did not do something. Stop! Find out the facts. Facts are the baseline and should be the cornerstone of any compliance investigation. It is hard to do, but especially important to use facts as the baseline for conversations and decision-making in our profession.

7. Communicate, collaborate, and educate: This is the tagline or motto of our department. The basis for this is to be a partner and resource — not the police or judge — as compliance professionals. We want to communicate clearly and succinctly so that the workforce understands your message. Compliance can be complicated, and we want to ensure our audience understands and can act on the information we share with them. We want to collaborate with workforce members so that we can meet them where they are in the issue at hand. We cannot always say yes, but we do not want to be known as the “department of no.” Lastly, we want to educate the workforce on our policies and guidelines. That means we may need to create emails, videos, on-site presentations, or phone calls to convey the message. Using National Corporate Compliance Week as a venue to visit all our hospital and ambulatory entities has been a tremendous way for successful compliance professionals in my experience; it builds their rapport with staff members and thereby positively affects their work.

8. Be a lifetime learner, both academically and practically on the job: Formally, this can be achieved through earning degrees from accredited schools and certifications to publicly share your dedication to our industry’s body of knowledge. Informal learning includes stepping out of your comfort zone to volunteer for additional responsibilities so you can learn beyond your scope. That could mean engaging in system-wide committees or taking on collaborative projects with other departments. Even vocalizing an opportunity for improvement, suggesting collaborators to address the issue, and being a part of the solution while learning from others is a wonderful way. Additionally, this year my team is challenged to each do a “Gemba” walk: “walking in someone else’s shoes.” The challenge is to meet with someone outside the compliance and internal audit departments to learn about their role, then give the compliance and internal audit team a 10-minute presentation at a staff meeting about what you learned. Those who are effective in their roles will pick a department they know nothing about and learn from to enhance their body of knowledge outside of their roles.

9. Help others, as they may one day help you: Those who have been successful in compliance are viewed as team players and understand that as individuals, they assist others; all boats rise together. This includes both within and outside of the compliance department. Although it may be more work for you, offering to “go the extra mile” when resources are stretched can be a meaningful gesture. Teamwork helps not only with department effectiveness but also with individual effectiveness. No one can know everything about compliance and privacy, so it takes a village to share to achieve enhancements and improvements. 

10. Join as many “professional groups” as you can to learn from your peers: This is the most well-kept secret to success as an effective compliance professionals. As much as assisting others on your own team, learning from others statewide, regionally, and nationally will enhance an individual’s success. Each healthcare system is different and faces different challenges, yet there is much commonality in adhering to federal guidelines and compliance best practices. Be curious, ask questions, and offer feedback to others. I have consistently found that compliance professionals who give their networks time and information are those who are most successful. Those are professionals who can also rely on their networks for input in times of need.

It may be challenging to implement all the previously discussed “best practices”; however, having intentional goals is helpful for success in the compliance profession. For compliance newcomers, it may take at least a year to know what you don’t know, and then it takes a career to research, learn, and teach what you find out along the way.

Wishing you all success at whatever stage you are in your professional endeavors.

Takeaways

• Understanding details, following up, and time management are building blocks to success in the compliance profession. 
• Your energy, listening skills (verbal and nonverbal), and ability to not tell yourself a story and remain judgement-free during investigations are crucial elements to success. 
• Networking, supporting your teammates and colleagues, and sharing best practices amongst other compliance professionals, along with formal and informal learning opportunities, can lead you to enhance your professional growth and thereby your opportunities in the profession. 
• Never stop learning either formally or informally. Being a lifelong learner will benefit you both professionally and personally with your compliance network. 
• Be generous of your time. Giving to others and going above and beyond to share your knowledge or share resources will enhance your brand in our profession. 

Compliance Today | March 2026

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