Corporate Compliance – How to Handle an Unethical Request

The guidelines for compliance are pretty well understood in those companies where rules and regulations are frequently reviewed and cascaded throughout the organization.  And most companies, these days, are unwilling to risk the cost in money and reputation for non-compliance. 

In California, AB 1825 even requires that employers with 50 or more employees provide their managers with a minimum of 2 hours every 2 years of interactive sexual harassment training and education. Responsible corporations work diligently to keep up with and enforce the federal and state laws that govern them.

Employees, in general, typically know what is legal and what is not. Hiring managers typically are taught what interviewing questions can be legally asked and not asked. And financial institutions are tightly restricted by the way they gather and use information.

But what happens when an employee is asked by their boss to break out of what we know are legal limits to do something very sketchy? Do we succumb to positional pressure and assume the “boss knows best”?

Here is what to do according to our corporate compliance experts in the field:

1. Assume innocenceAssume your boss does not fully realize what they are asking. Either they are unaware of the rules they are asking you to break or they did not think through the risks or consequences involved. Explore the subject further and couch your questions in a way that point out the risks to your boss of such actions.
   
2. Share your discomfortLet your boss know of your unease and give them some room to withdraw the request in a way that saves face.
   
3. Just say noIt can be difficult to simply refuse to do what your boss asks you to do. But breaking the law was never part of your job description. You should never feel compelled to do something you know is not right.
   
4. Consider more drastic next stepsIf your refusal is not accepted and you feel there are negative repercussions, you need to seek help to protect your own interests. Consider talking to your boss’ superior and Human Resources. You should get the request and your refusal documented. HR should be able to advise you on legal recourse if such action is necessary. Depending upon the nature of the original request, you may even need to go outside the company to get support.

Learn more at: http://www.lsaglobal.com/corporate-compliance-training/