Compliance People are just Regulatory Folks
What springs to your mind when you think of the term Compliance or Regulation? And what image do you have of a Compliance Officer or someone who works as a regulator?
Having worked as a trading standards officer in several local authorities over the last 20 years I've experienced countless instances where the mere sight of myself and my colleagues would make people stiffen up, panic and the colour drain from their face as I introduced myself. Some were immediately defensive even when they had done nothing wrong, and a handful were simply angry and aggressive just because I had walked through the door. I've been called some colourful names over the years, my favourite was being told I was obviously part of a covern of witches - and that was a retired man who had made a complaint about being overcharged for a chicken….but that is a whole other story!
There were obviously those who were defensive because they knew they were breaking the law, a significant amount of my time on the ground as an officer was spent covering what we call fair trading legislation, things like products that are misdescribed, pricing issues, but also rogue doorstep traders who target those who may be vulnerable, counterfeiting, illicit tobacco, fraud and scams. These types of offences are usually deliberate and often linked to organised crime, so you come to expect a certain reaction when you turn up to seize their goods or in the worst case, have them arrested and taken to a police station. You develop a thick skin and take in on the chin.
But why do people in legitimate businesses who have nothing to hide still react in a similar way? Have they had a bad experience with other authority figures? Or is our reputation that we are bad and are there to find things wrong? I've asked some people, usually at the end of the visit, why they reacted, and they often say they don't know! My approach with all people in the businesses I have met over the years is the same regardless of which camp they fall into, to be reasonable and fair and treat them with respect. That's how we all want to be treated, including me. The last thing I wanted at any point was a confrontational situation, and I always remember my university lecturer telling us that you can always take things up a notch if you're encountering aggression or obstruction, but it's far more difficult to come down when you've started in an officious or aggressive manner yourself. By the end of the visit, we would usually have built a rapport, I'd have given them some practical advice, they would understand their responsibilities and hope that we weren't so bad after all.
I think some of the issues is that in general not many people outside the TS or regulatory world really know what we do so it was fear of the unknown. Of course, well-established businesses will have no doubt encountered trading standards over the years and be prepared and ready but trading standards rarely carry out any routine inspections any more. Budget cuts and policies on better regulation, less red tape and reducing the burden on businesses have resulted in intelligence-led enforcement, meaning businesses will only get a visit where there are complaints or evidence of a non-compliance. Although many authorities will provide business advice they usually charge for this, again partly due to budget cuts but also that they don't have any statutory obligations to provide businesses with advice. So officers are not out visiting local businesses, explaining the law and the reasons behind it, trading standards role in enforcement but more importantly providing that valuable free advice that businesses received during a visit. Trading standards and other regulators will become unseen unless there is a problem and they have to take enforcement action. Will this reinforce the feelings of fear that come over people if you mention the words compliance, regulatory, officer? Maybe it’s a stigma we have to live with, a bit like a tax inspector! A couple of months ago at a networking event, I introduced myself to a charming person who immediately jumped back and made a cross with his fingers…he was a will writer, nothing he does would be in a trading standards remit so who knows where that came from!
I hope not. I am a normal person, have a normal life a partner, my son and our dogs and all the other stuff that goes with it. I have fun and laugh, and cry and shout (only sometimes). I entered my career because I was interested in the law, the variety of work that trading standards do and deep down my core values include fairness, justice, honesty. Ultimately I want to make the world a fair and safe place, not just for consumers but also for businesses trying to survive and succeed and do the right thing.
Now, as a consultant I'm still trying to shake some of that stigma and show that compliance people are not something to be feared, I'm here to help and advise, provide assurance and support, reduce risks for businesses, help them deal with complaints and prevent them, watch them grow and hopefully build a great relationship.
