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Day in the life of a compliance officer Hamilton Lindley

A compliance officer’s day will vary widely based on the officer’s industry and business. “The compliance officer is the beat cop on the streets of the company,” said Hamilton Lindley, a compliance manager at Neighborly Brands. Like a cop, he needs to maintain a good reputation with the “prosecutors” in the legal department. He also needs to have a strong relationships with those people or departments that have been aggrieved by the noncompliance.

Neighborly Brands is a franchisor. Hamilton Lindley manages the compliance of terminated franchisees. “These franchisees are per se noncompliant. So difficult conversations are inevitable,” Hamilton Lindley said. “So I must tell these franchisees that I respect them,” Hamilton Lindley said. “This helps them go through the stages of grief so that we can eventually come to a resolution.” Hamilton Lindley said. Hamilton Lindley says that he can hear the ex-franchisee go through the stages of grief, sometimes on the same phone call. “The conversations flow through denial, anger, bargaining, depression and acceptance.” But things get slower when a former franchisee gets stuck on one of these elements. “That’s when we have no option but to suggest the filing of a lawsuit,” Hamilton Lindley says.

Hamilton Lindley uses a variety of technology to enforce the terms of the agreement. He uses every way imaginable to contact ex-franchisees. This includes texts, calls, FedEx, USPS, and emails. This is to provoke a conversation with the ex-franchisee so that a lawsuit can be avoided. “But if the franchisee gives us no options our decisions are easy,” Hamilton Lindley said.