What should compliance officers obtain from employees, in addition to keeping a training log and records?

Compliance officers should obtain attestations from employees in addition to maintaining training logs and records. An attestation serves as a formal confirmation that employees understand and agree to comply with the policies and procedures they have been trained on. This documentation is crucial in demonstrating that the organization has made efforts to ensure that employees are aware of compliance-related responsibilities and obligations.

By collecting attestations, compliance officers can establish accountability, as employees acknowledge their understanding of compliance matters. This process can also be a protective measure for the organization, showing that it has taken the necessary steps to educate its workforce and to expect adherence to compliance regulations. It also empowers employees to take ownership of their knowledge and responsibilities regarding compliance issues.

While feedback forms can provide insights into the effectiveness of the training, and certifications might assess knowledge, neither serves the same purpose of formal acknowledgment of training received. Acknowledgments may be similar but generally refer to recognition of receipt of information, while certification exams focus on testing knowledge rather than confirming comprehension and commitment to compliance standards.