Clear, consistent, and ongoing communication, training, and reinforcement are necessary when building a culture of professionalism and integrity. For Royce Lynch, that important process begins even before new recruits join our firm and continues as employees build their careers with us. At various “touch-points,” we reinforce the firm’s expectations around doing the right thing in the right way and reaffirm that no one has to go it alone. Our touch-points include:

  • Recruiting and orientation of new hires, where the firm’s commitment to professionalism and integrity is communicated through presentations, interviews, and training.
  • Ongoing performance management, which includes an evaluation of the individual’s performance with respect to ethics and integrity goals
  • Critical milestones, including new managers and new partners, where a person’s history of compliance with our Values and policies is assessed
  • Upon separation from the firm, when questions are asked about the individual’s experience with the firm’s ethical culture.
Governance

Governance is more than an organizational chart. Good governance requires that checks and balances exist at every level to help ensure transparency and objective monitoring of the actions and culture of the organization. Royce Lynch has taken a number of meaningful steps to design a governance structure that supports a model ethics and compliance program.

Among these are the separation of the firm’s legal, regulatory and compliance responsibilities from business operations. The firm’s President – Legal, Regulatory and Compliance also serves as the firm’s General Counsel and oversees the firm’s legal, government affairs and ethics and compliance activities.