Compliance
Speak-up programmes people actually trust
Having a whistleblowing channel is a legal requirement for many organisations. Getting people to use it is a matter of trust.
Read more: Speak-up programmes people actually trustCompliance
Regulatory compliance, ethics, financial crime prevention and compliance culture.
Introduction
Compliance keeps an organisation within the law, regulation and its own standards — and builds the culture that makes doing the right thing the default.
Modern compliance functions combine legal interpretation, risk assessment, monitoring and data. The best ones are trusted advisers to the business, not just a control on it.
Governance
Compliance reporting lines, independence and board-level ownership.
Controls
Monitoring, testing and surveillance that evidence compliance.
Risk
Compliance risk assessments and regulatory change management.
Compliance
Policies, training, investigations and engagement with regulators.
Sub-themes
The topics this pillar covers in its events, articles and working groups.
Compliance programme design
Building a proportionate, risk-based programme.
Regulatory change management
Tracking, interpreting and implementing new rules.
Financial crime & AML
Customer due diligence, monitoring and reporting.
Sanctions & export controls
Screening, ownership analysis and evasion risk.
Anti-bribery & corruption
Third-party due diligence, gifts and hospitality.
Speak-up & whistleblowing
Channels people trust and investigations that are fair.
Conduct & culture
Customer outcomes, incentives and behaviour.
Monitoring & testing
Second-line assurance that compliance controls work.
Regulatory watch
The frameworks and regulation we track for this pillar. Updates are published as Insights.
Europe
- EU anti-money laundering package and the Anti-Money Laundering Authority (AMLA)
- EU Whistleblower Protection Directive
- EU restrictive measures (sanctions) regimes
GCC
- AML/CFT frameworks aligned with FATF standards across GCC states
- Compliance function requirements from GCC central banks and regulators
- Corporate ethics and anti-corruption developments
Global
- ISO 37301 Compliance management systems
- ISO 37001 Anti-bribery management systems
- FATF Recommendations
Events & webinars
Upcoming sessions for this pillar.
New dates are being finalised. Join the network to hear about upcoming roundtables, webinars and panels first.
Articles & insights
Analysis and regulatory updates from practitioners.
Expert contributors
The practitioners who lead and contribute to this pillar.
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Bring your expertise to the Compliance pillar.
We invite women working across Governance, Risk, Internal Control, Compliance and related disciplines to express their interest in joining Ladies in Control and contributing to its development.