Managers: Special Roles

Special role for managers/supervisors

  • All compliance guidance documents point to leadership support as critical to an effective compliance program.
  • Ethics and compliance go hand in hand.
  • Managers have a responsibility to protect the company from illegal and unethical actions by employees.
  • Managers can be sanctioned for the actions of employees who report to them.
  • Managers can be sanctioned for failure to detect violations.
  • Managers and supervisors are responsible for employee actions and must:
    • Talk to employees about compliance issues.
    • Ensure employees understand violations are serious.
    • Ensure employees understand that disciplinary action will be taken.

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