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How to Assemble an Ideal Compliance Team

Companies grow. They sell more. Thus, hire more. Including HR staff. Simple, right?

In concept.

But hiring the right people, to do the right things, to get and stay HR compliant takes work. And the right planning.

Things get complicated when your organization grows.

We’re sharing some tips with you on how to assemble the right compliance team as your company grows.

It’s not that simple. Not that hard, either- when you take a methodical approach.


Determine “what”

First things first. Knowing comes before doing.

By knowing what to address, what to resolve. Look back to see ahead. For instance…

  • Have you had compliance issues in the past? If so, what were (or are) they?
  • Do you hire in ‘complicated’ states (like Ohio or Pennsylvania or California)?
  • Which federal rules and regulations apply to your business, location, or industry?
  • Is employee turnover high in your industry? Or just with your company?


  • How do you stay current with the latest regulatory and governance developments?
  • Do employees know what’s expected of them in the workplace?
  • Is training new employees an issue?
  • What about measuring performance for existing ones?
  • Are people complaining about discrimination or sexual harassment?
  • How are people disciplined, if needed?
  • Is there an open channel to HR for employees to ask questions? And to resolve issues?

As you can see, assembling the right compliance team depends on asking the right questions. 

Different issues need different skills to fix what’s currently going on.

Develop your own list. Prioritize it. Focus on the first few matters at a time. This will help you identify the right HR people to bring on board.


Identifying “who”

You want a compliance team that is well rounded and able to support the various external and internal compliance needs of your organization. Your team should include the following:

  • HR executive leader
  • General counsel
  • HR representative: diversity and inclusion
  • Payroll administrator
  • Benefits coordinator
  • Communicator
  • HRIT/Technology program manager
  • Project manager


Determine “how”

You’ve identified the top most important (and perhaps urgent) matters to resolve.

Good work.

Now what?

Let’s answer that question with a bunch more questions:

  • How many HR staffers do you need to make things just right?
  • What roles have they served?
  • What skill sets do they need?
  • Same for their experience
  • How much will they cost (and what can you afford)?
  • What learning style must they have, to stay up-to-date on all things HR compliance?
  • Who will lead the charge in building this ideal team? You? A key new hire?

Once again…

Asking (and answering) the tough questions will help you determine your next best actions.

Such as…


Prepare Do
Get the right people involved to make this happen Schedule the interviews
Create the job positions Do the interviews
Write the job descriptions Share and get feedback for the interviews
Post the job descriptions Hire and onboard the new staff members
Determine other ways to find qualified candidates
Identify the right company hierarchy


There’s lot to do in assembling your team. Don’t worry. You’re developing a customized and methodical approach to meet the needs of your business.

Learn more with our

Next up…


Develop a plan


So everyone will know and do the right things for getting and staying HR compliant.

You must know the laws to create internal policies and guidelines. Then, communicate these to everyone involved, from managers to their teams. It’s everyone’s job to keep the workplace running properly.

To achieve compliance, everybody must understand:

  • What it is
  • How to achieve it
  • What happens if you don’t

Last thing you (or anyone) want is to be investigated and punished.

A few ways to stay safe and compliant include:


Stay informed

Because HR laws change. Otherwise, how will you establish current and correct policies?


Create an HR handbook

And keep it updated. Have your legal team review any new policies before you communicate and implement them.


Train your managers

They’re the eyes and ears to the company employees. Review the handbook with them. So they can spread your employee policies to everyone else.


Train your employees

Your handbook is more than a paperweight. Provide periodic training on important topics (like sexual harassment). This will help people refer to and use your (always updated) handbook.


Listen. And learn.

Because managers, employees and other experts will help you identify and reduce risks. The collective you will do much more the individual you.


Talk to them, too

Give feedback so others know if they’re meeting expectations. HR compliance is a process, not an event. Soften the rough spots before they become hard edges. Ongoing communication and updates will help everyone improve, continuously.


Document what you decided

Because memories fade. Only good records will back up your compliance claims. Create and maintain a written trail for…

  • Key decisions
  • Employee evaluations
  • Critical communications
  • Established policies, and…
  • Personnel records

Saying raises eyebrows. Showing lowers them.


Know the (external) issues

Not the ones mentioned above, going on in your company.

But the ones happening in the federal and local governments.

You’re on the front lines (and on the hook, too) to make sure your company is treating people fairly and legally.

You and your ideal team must stay aware of all compliant issues and laws. Here’s a few of them.


Anti-discrimination laws

We know you already know, but… it’s against the law to discriminate based on race, color, sex, ethnicity, disability, gender, veteran status, or age.

And… with a trend to broaden this law, especially for gender identification and sexual orientation.

Just. Don’t. Do. It.


Tax withholding forms

Over half of all federal, state and local tax forms get updated every year.

It’s up to you to monitor these, to make sure your employees are using the latest. Otherwise, you and your employees are at risk by not filing correctly. Here’s some info for W-4 forms.

Keep a list of all the forms and topics to stay updated on. Share this list so it’s not just you bearing all the burden.

Let CIC Plus update all your federal, state and local tax withholding forms automatically each year.


Wage and hour laws

This federal law requires you pay appropriately for: minimum wage, overtime, hours worked, child labor, and meal & break times.

However, many states have adopted stronger requirements. Take minimum wage, for instance. The federal minimum wage is $7.25. But most states have their own requirements.

So keep up, to keep compliant.


Family and medical leave

Did you know, that some employees are eligible to take 12 weeks of unpaid leave, each year? While keeping their medical benefits going? Here’s a few of the conditions…

  • The care of a newborn within one year of birth
  • Bonding time with an adoptive or new foster child
  • Take care of oneself or a family member with a serious health condition

At the state level, New York is one of several states offering this as paid leave.

What’s it for your state?


Immigration laws

Good jobs attract many people to live in the U.S. illegally.

You want to be sure to hire only eligible candidates.  Such as citizens, non-citizen nationals, lawful permanent residents and aliens authorized to work.

You do this by using the right documentation, including Form I-9.

Last thing you want is to be audited by Immigration and Customs Enforcement (ICE). If ICE does show up .

Otherwise, . The current administration is serious about this. You should be, too.


Benefit regulations

The Affordable Care Act (ACA or “Obamacare”) is still in effect. This creates affordable health insurance to more people.

Do you have 50 or more full-time employees? If so, you must provide health insurance to them and their dependents. Otherwise, there are penalties for this, too.

Other employee benefits to keep up with include:

  • Time off to vote, serve on a jury, and perform military service
  • Comply with workers’ compensation requirements
  • Pay state and federal employment taxes
  • Contribute to disability programs


Safety laws

Safety laws were created to create a safe workplace for employees. Some of these are changing during the current administration, so stay aware. Keep the right records, too.

Here’s a fact sheet to help you track workplace injuries, correctly and on time.


It’s lot to keep up with all the HR issues, laws and activities for your growing company?

Don’t panic.

You’re now armed with a systematic framework to know…

  • What problems to solve
  • How to solve them
  • Your next best actions, with a solid plan, and…
  • What’s going on with external laws and policies

All so employees will be legal, safe, and rewarded. Same for you and your HR team.

Automate your employer compliance to ensure you stay current and comply with all regulations.

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