You’ve Started in a Senior Compliance Role - Where Do You Begin?
There is no universal playbook for stepping into a senior compliance role. Each organisation is different - its regulatory history, risk culture, leadership dynamics, and commercial strategy all shape the environment the new compliance leader is entering. However, a structured approach can provide the clarity and confidence needed to navigate those crucial first months.
The three phases outlined in this article - Diagnose and Understand, Own and Stabilise, and Vision and Change - offer more than a sequence of tasks. They provide a leadership framework, which balances listening with action, stabilisation with ambition, and credibility with strategic intent.
What Makes a Compliance Function Effective? Six Questions Every Firm Should Ask
How a firm handles compliance says a lot about how it approaches business and treats its customers. After years as a Chief Compliance Officer and now as an adviser to financial services and technology firms, I’ve seen one clear pattern: the most successful companies don’t treat compliance as a side function.
So how can you tell if your Compliance function is where it needs to be, or if it could be stronger? I’ve put together six key questions that I believe every compliance leader and executive team should ask.