5 Strategies for Compliance Accountability Across the Organization 

On a daily basis, compliance officers are asked to find solutions to a variety of operational requirements. For example, consider a regulatory change requiring the organization to adjust an operational process in order to bill for a particular service. In this case, the solution must be compliant and operational-friendly, but who’s responsible for making that happen? 

While supporting operations in finding compliant solutions is part of our role, becoming the de facto fixer of what constitutes “operationally friendly” is beyond our scope. That piece must be owned by operations.  

The challenge then becomes how to get operational leaders to take ownership for resolving their own compliance challenges. 

Five Strategies to Help Operational Leaders Take Responsibility 

These five strategies will help your operational leaders take responsibility for their particular compliance issues, while preserving your role as a trusted advisor. 

#1 Use a “Coach” Mindset, Not a “Gotcha” One 

If you want your leaders to take more ownership of their own compliance challenges, then position yourself as a coach who helps them think through problems and find solutions—not as a person who catches mistakes. 

Know When to Step In and When Not To 

Having a coach mindset also means knowing when to step in—and when not to. For example, your role is to escalate compliance risk when appropriate (e.g. a deadline looks like it’s going to get missed), but it’s not to do the operational work for them (e.g., following up with a subject matter expert for their input).  

If a leader doesn’t take action despite your support, then resist the urge to fix it yourself. Instead, document it and elevate appropriately within your organizational structure to bring about resolution. 

Having a coach mindset encourages operational leaders to own their compliance challenges because when leaders feel heard and supported, they’re more motivated and invested in their work to find a solution. Also, by supporting those closest to the work in addressing issues, it leads to more practical (and often) faster solutions. 

#2 Frame Risk as Operational Risk, Not a Compliance Burden 

In my experience, operational leaders are more likely to engage when compliance is framed in business terms and not compliance jargon. For example, instead of reading or citing regulations, explain the operational impact of the requirement to them. Talk about things like billing delays, lost revenue, patient safety, or reputational damage.  

Additional topics to consider when framing risk as operational risk include: 

• Patient care 
• Staffing 
• Operational costs 
• Budget variances 
• Workflow 

Framing risk as operational and not as a compliance burden helps promote ownership in solving compliance challenges for a couple of reasons. First, this approach speaks their language. When you frame risk in terms that operations understand, they’re more likely to grasp the urgency and relevance of the ask.  

Second, it makes the problem theirs—not yours. If the risk is shown to impact their budget, performance metrics, or reputation, they’re more likely to feel responsible for addressing it.  

Finally, presenting risk in this way increases engagement and accountability. When compliance risks are reframed as disruptions to their performance goals—employees naturally step into problem-solving mode and take accountability.   

 
#3 Stay Curious, Not Critical 

In my experience, the most effective way to approach communications with operational leaders when it comes to compliance is one rooted in a curious mindset, not a judgmental one.  

For example, let’s assume a leader did not follow through on something they said they would do. A judgmental way to respond would be: “You said you would do this, but clearly that meant nothing.” On the other hand, if you said, “Tell me what challenges you’re facing in moving this forward?” that comes across less adversarial, and more likely to produce a collaborative discussion.   

To help compare and contrast the two approaches, consider these additional examples: 

Judgmental Language	Curious Language
“Why would he do something so stupid?	“I wonder what information or pressure led him to that decision?”
“That’s a terrible idea.”	“What’s the reasoning behind that idea?”  “What challenge are you trying to solve?”
“That department is just being difficult.”	“What might be making them act this way?”

Taking a curiosity-based approach helps support leaders in solving their own compliance challenges because it builds psychological safety by inviting open dialogue and new perspectives. In my experience, operational leaders are more likely to think creatively when they don’t feel scrutinized.  

#4 Make It Easy for Leaders to Act 

Like compliance officers, operational leaders face constant pressure, decision fatigue, and competing priorities—all of which leads to cognitive overload. Relatedly, if the problem-solving process feels overly complex or burdensome, leaders are likely to disengage or defer responsibility.  

Making the work easier for your operational leaders encourages them to solve their own compliance challenges because it makes the process more approachable and less threatening. That, in turn, increases their willingness to participate and take ownership. When leaders feel less overwhelmed, they are more likely to engage with issues and take initiative.  

#5 Recognize and Reward Ownership 

Finally, another way to foster operational ownership is to call out your leaders (publicly or privately)—in a good way of course—when they take the initiative to solve their own compliance issues.  

For example, let’s assume an audit was conducted in a clinical department related to medical necessity documentation. As part of a corrective action plan, monitoring is needed to ensure the documentation is in the patient’s medical record. If the department director proactively develops a tool for monitoring and vets it with you, then in response, you might say:  

“I really appreciate how you took ownership to proactively develop this tool. That kind of initiative supports us in maintaining a strong culture of compliance in the organization.” 

If leaders only get attention when their problems are escalated to you, they learn to seek approval through dependence. Recognizing effective problem-solving flips the script. It signals that ownership and resolution—not escalation—are what gets rewarded. 

By following the strategies outlined above, you empower operational leaders to manage their own compliance risks. Just keep in mind that it is a process that takes time, but in the long run, an empowering leadership style will improve buy-in to your program and create a more cohesive culture of compliance.

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