8 Compliance Red Flags to Watch Out For

Even if you implement all the compliance training courses and follow every piece of advice to keep employees compliant, it will be impossible to completely eliminate non-compliance altogether. This especially applies in situations when employees choose to act non-compliant deliberately. While it’s difficult to remove non-compliance, there are red flags that can signal non-compliant behavior.

When you’re aware of those red flags, you can be more alert and prevent non-compliance from happening or worsening. Read on to learn more about the red flags and the reason behind why people commit violations.

Why Employees Are Non-Compliant

There are various reasons why people are deliberately non-compliant in the workplace, such as:

  • Lack of bonuses, pay raises, or promotions, with the individual feeling aggrieved and wanting to punish the company
  • The pressure the meet deadlines and targets can cause someone to bend the rules or numbers
  • Greed or thinking small theft isn’t a huge deal
  • Serious financial concerns

Other times, employees may be unintentionally non-compliant because:

  • Ignorance of the rules
  • Lack of training or poor training
  • Failure to report breaches due to lethargy or lack of time
  • Failure to take action
  • Ineffective tone from the top leaders or mixed messaging
  • Errors due to understaffing and overwork
  • Errors due to momentary lapses of care and diligence

Red Flags to Watch Out For

Here are a few red flags that can indicate a higher risk of non-compliance. If ever an individual presents two or more of these red flags, there may be an even higher risk:

  • Living beyond one’s means, with their house, car, clothes, or holidays being financially out of reasonable reach compared to what they earn
  • Indebtedness, where one always asks for overtime or is looking for second jobs
  • Substance abuse wherein one is dependent on alcohol or drugs and it has affected their work performance
  • Gambling, whether in person or online.
  • The individual is never away, meaning they do not take over two consecutive days of and even continue to work remotely if on leave. Moreover, they are willing to do overtime or work on weekends even without incentives
  • They are overly protective of clients. For instance, the individual does not want anyone else to speak or deal with specific clients, never allows people access to those clients, and may feel angry when someone tries to do so.
  • Lack of training in vital topics like cybersecurity learning and the like. They do not complete their training or attend workshops even if mandatory. They may also regularly fail training assessments
  • The employee is disgruntled, such as the one overlooked for a promotion or does not receive regular pay increases and bonuses

To manage non-compliance, it all begins with never ignoring the red flags and increasing your scrutiny if a person with red flags works in vulnerable job roles. This allows you to mitigate the risk of non-compliance in the first place, along with regular training.

Wrapping It Up

Keep this information in mind as you address non-compliance in the office and prevent it from happening as much as you can.

Neville Paulie