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13 July 2021

Building a culture of compliance within your organisation is crucial to minimising risks. Compliance issues can not only divert significant time and resources away from your core mission, but they can also cause you to go out of business altogether. The Compliance Company are here to use our expertise to minimise your risks, so how do you install a compliance culture within your firm?

  1. 1. First and foremost, what do you already have in place?
  2. Before starting your compliance progression journey, you must look at your foundations. How compliant are you as a whole organisation? Do certain individuals obey more than others? If so, you may want to address your team and management methods rather than looking to just the systems you have in place.You must make sure that the message is clear, that the firm is accountable for delivering compliant outcomes and is committed to making changes.
  3. 2. Lead by example
  4. By ensuring that your authority figures truly follow the core compliance values, you will promote and hopefully create an environment in which the whole firm are also compliant. If authority figures are genuinely engaged and motivated by doing the right thing, employees should be too. Timely, positive reinforcement when employees are compliant will also encourage the compliance culture within your firm.Additionally, ensuring senior managers lead the way with completing their compliance training assists in setting the right tone and expectations.
  5. 3. Align your business objectives with your desired compliance culture
  6. A compliant firm will not be created if the strategy and objectives do not orient towards compliance. If managers are prioritising compliance goals with other performance objectives, then the importance of compliance held by team members should be reflected across the entire organisation.
  7. 4. Prioritise your budgets
  8. You must have the investment to deliver change programmes. Take time to build a robust business case, demonstrating what investment you need to ensure that your business changes for the better and becomes more compliant. If your employees aren’t trained within this area, then how are they supposed to follow it?
  9. 5. Balance between formal & informal interventions
  10. Make sure there’s a blend of informal and formal interventions. If employees are told what is expected of them formally, with no lighter toned messages, they are more likely to rebel. Informal conversations often establish connections and a sense of trust. By engaging with your workforce about compliance regularly, the more you will support the change and build the culture.
  11. 6. Be personal
  12. Training sessions within compliance are best when they are short, frequent and interactive. It is pointless trying to embed a culture of compliance within a disengaged workforce, and by having lengthy, dull training sessions, your employees are likely to feel demoralised and uninterested. By showing an individual how compliance affects their specific role, you will speak to the individual and not the whole organisation. Where possible try to make your sessions come to life: utilise workshops and use real scenarios.
  13. 7. Monitor & measure the change
  14. Be honest about how things are progressing and objectively measure the success against your objectives. Are you seeing a decrease in customer complaints? If so, by how much? Ask your staff, do they feel as though the compliance culture has been successfully embedded? Are their colleagues following suit? How could this be improved for further success?

Creating a truly compliant company can be a challenge. It isn’t easy to ensure that everyone is onboard with the change, especially in larger firms. We hope that you found this blog useful and took some ideas that can be transferred to your organisation. As always, if you need any support with compliance, do not hesitate to get in touch with a member of our fabulous team of specialists:


T: 01423 522 599


By Ian Beardmore

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