After nearly a decade in the ethics and compliance field for professional associations, I’m transitioning to a new role with the DC city government. As I prepare to close this chapter of my career, I find myself reflecting on the unexpected journey that brought me here and the invaluable lessons I’ve learned along the way.

My path to ethics work was far from traditional. I began my legal career in the criminal justice system, working in a prosecutor’s office, serving as a public juvenile defender, and clerking for a county judge. I had every intention of pursuing that trajectory until fate intervened and landed me in the ethics and compliance office of a professional association. What I initially viewed as a temporary detour became a decade-long fascination with this specialized area of law.

Recently, I’ve been approached by several attorneys expressing interest in transitioning into ethics and compliance work. Their questions have prompted me to consider what I wish someone had told me before I began this journey. Here are five critical insights I would share with anyone considering this career path.

1. Understanding the Distinction Between Professional Ethics and Compliance

One of the most fundamental concepts I had to grasp was the distinction between ethics and compliance, though it can be debated among professionals in the field. Through my experience, I’ve come to view ethics as the aspirational standard — what the association envisions for its organization and membership to embody. Ethics represent the ideals and values that guide behavior and decision-making, reflecting the highest standards of professional conduct.

Compliance, on the other hand, represents the enforceable rules and requirements that members must follow to maintain their standing with the association. These are the specific regulations, continuing education requirements, and conduct standards that carry consequences for non-compliance, including sanctions or removal from membership.

Think of ethics as the “why” behind professional standards — the moral foundation that informs our expectations of professional behavior. Compliance is the “what” — the specific, measurable requirements that translate those ethical principles into actionable rules. While ethics inspire and guide, compliance rules are enforced.

This distinction matters because it shapes how you approach your work. When dealing with ethical dilemmas, you’re often navigating gray areas where judgment and interpretation play significant roles. When handling compliance issues, you’re typically working within more clearly defined parameters with established consequences for violations.

2. The Complex World of Volunteer Disciplinary Boards

Before entering this field, I had limited understanding of how volunteer disciplinary boards operate within professional associations. These boards are the backbone of professional self-regulation, yet their unique structure and constraints create challenges that aren’t immediately obvious to newcomers.

Volunteer disciplinary boards operate under a dual set of obligations. First, they must adhere to the association’s code of ethics or conduct — the same standards that apply to all members. Second, they must follow specific procedural rules outlined in the association’s practices and procedures manual. These procedural requirements ensure due process, consistency, and fairness in adjudicating complaints.

The volunteer nature of these boards presents both opportunities and challenges. On the positive side, peer review brings credibility and professional expertise to the disciplinary process. Board members understand the nuances of professional practice in ways that staff members might not. However, board members have primary professional obligations that limit their availability, and scheduling hearings can be complex.

Perhaps most importantly, volunteer board members must be meticulously trained on procedural requirements. The rules that govern these boards aren’t merely administrative requirements — they’re essential protections for both the association and the professionals facing discipline. Failure to follow established procedures can invalidate disciplinary actions and expose the association to legal challenges.

3. Navigating the Intersection of Legal and Ethical Issues

One of the most complex aspects of ethics work is understanding when issues cross the line from ethical concerns to legal violations. This distinction isn’t always clear-cut, and the implications can be significant.

Ethical violations typically involve breaches of professional standards that may harm the profession’s reputation or violate accepted practices, but don’t necessarily constitute criminal or civil law violations. Legal violations, by contrast, involve breaches of statutory law that could result in criminal charges or civil liability.

The challenge lies in cases where ethical and legal issues overlap. A member who embezzles client funds, for example, has violated both professional ethics and criminal law. In such cases, you must coordinate with legal counsel to ensure the association’s disciplinary process doesn’t interfere with ongoing legal proceedings while still fulfilling your obligation to protect the public and the profession.

"Over my decade in this role, I’ve adjudicated cases ranging from straightforward continuing education credit deficiencies to serious criminal allegations, including murder."

It's crucial to understand that just because a complaint was adjudicated at a state board level does not mean it will have the same outcome within your association. Due to varying state laws, regulations, and even societal norms, state boards may not proceed as lightly or severely as a national association would. State boards operate under their specific regulatory frameworks and may have different standards of evidence, different sanctioning guidelines, or different priorities in enforcement.

4. Defining Roles: Ethics Director Versus Association Legal Counsel

The relationship between the ethics director and association legal counsel is critical, yet the distinct roles and responsibilities aren’t always well-defined or understood within the organization.

The ethics director typically serves as the primary point of contact for ethics-related inquiries and complaints, managing the disciplinary process and serving as staff liaison to volunteer disciplinary boards. They often have deep knowledge of the profession’s standards and practices, understanding the practical implications of various ethical requirements.

Association legal counsel provides expertise on matters affecting the association’s operations, including the disciplinary process. Legal counsel advises on procedural requirements, reviews proposed disciplinary actions for legal sufficiency, and represents the association in any legal challenges to disciplinary decisions.

The key to success lies in understanding where these roles intersect and complement each other. The ethics director brings professional and practical expertise to ethical issues, while legal counsel provides the legal framework within which that expertise must operate.

5. Preparing for the Unexpected

Perhaps the most surprising aspect of ethics work was the sheer breadth and variety of complaints that cross your desk. Over my decade in this role, I’ve adjudicated cases ranging from straightforward continuing education credit deficiencies to serious criminal allegations, including murder. The scope of potential ethical violations is broader than most people imagine because professional conduct standards typically include general provisions about behavior that brings the profession into disrepute.

This means that a complaint might involve a member’s professional services, their business practices, their personal conduct, or their interactions with colleagues, clients, or the general public. Each type of case requires different approaches, types of evidence, and considerations for potential sanctions. Reading detailed complaints about professional misconduct and making decisions that can end careers requires emotional resilience and professional detachment.

This variety also means that you must be prepared to quickly learn about different areas of law, professional practice, and human behavior. Each case becomes a crash course in whatever field or situation is involved, where each matter demands a fresh perspective and thorough context.

Conclusion

Working in professional ethics and compliance has been one of the most intellectually challenging and professionally rewarding experiences of my legal career. For attorneys considering this career path, I encourage you to approach it with realistic expectations about both the challenges and rewards involved. The work is meaningful — you’re helping to maintain professional standards that protect the public and preserve the integrity of professional practice. However, it’s also demanding work that requires careful judgment, emotional resilience, and the ability to navigate complex relationships with volunteers, members, and other stakeholders.

Remember that you’re joining a community of professionals dedicated to upholding the highest standards of professional conduct. The field needs talented, dedicated professionals who understand both the legal complexities and human dimensions of professional responsibility. If you’re prepared for the challenges and excited by the opportunity to shape professional standards, ethics and compliance work offers a uniquely fulfilling career path within the legal profession.