Compliance Team of the Year - Non-Financial services

How to apply

  1. Register an account.
  2. Start your entry (save it in-progress).
  3. Submit your entry to be in the running.

Best of luck!

For any questions, please contact Ryan Bessent or 020 7608 9045
Download entry guide

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This award recognises a team working in the non-Financial Services space that is supporting and enabling the organisation to conduct its business in compliance with all national and international laws and regulations. This is a generalist or specialist team that demonstrates exemplary professional standards and has created a culture of compliance within the business.

Judges will be looking for how the team has responded to external and internal challenges in the last 12-18 months ahead of the entry deadline, with evidence to support how they’ve built a culture of compliance within their organisation, elevated the compliance profession, or supported the creation of best practice standards across the broader compliance community.

Eligibility

  • This award is open to all internal compliance teams working outside of the financial services sector.   
  • Entries must demonstrate evidence from the last 12-18 months, up to the awards entry deadline. 
  • We welcome entries from teams operating within Europe.

Spirit

Please describe the team, its size and scope of responsibilities. 

  • Please provide a brief overview of the structure and complexities (size, sectors, multiple firms, appointed representatives…) within the business the team operates within. 
  • What has been the business and regulatory context within which the team has been operating?  
  • Please describe the ambition and goal for the team over the last year. 
  • What were the drivers for improvement, restructure or change? 
  • Please share any other contextual information that will help judges understand the challenges the team has had to respond in the last 12-18 months. 

Approach

Please provide relevant detail to support your entry including: 

  • How did the compliance team support the business needs over the last year, how has it had to flex, adapt and innovate to deliver excellence? 
  • How has the team collaborated with the business and other stakeholders? 
  • What was the approach to recruitment, people development and retention over the past 12-18 months and how did this contribute to the team’s success? 
  • In what ways has this team been committed to creating a culture of compliance in the business? 
  • Please share any specific methodology, leadership approach or strategy that was employed. 
  • How has technology been employed to help team achieve its goals over the past 12-18 months? 
  • How did the team surpass expectations, go over and above? 

Outcome

  • What were the results for the team over the last year? 
  • Please share any qualitative and quantitative metrics to validate your credentials as Team of the Year. 
  • How did the team change / deliver against its ambition and goals? 
  • How have the compliance team strengthened good outcomes and/or improved experience for customers? 
  • How has the team delivered its outcomes within resource constraints and delivered value for the business? 
     

Endorsement

  • Judges would be interested to read up to 3 testimonials in support of your submission, from wider business partners and other stakeholders who can verify the success of the team in the last 12-18 months. Please keep testimonials to max 100 words.  
  • Or, if the changes implemented by this team have led to wider adoption of best practice or frameworks across the business, or industry please share relevant details. 

Compliance Team of the Year - Non-Financial services

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To find out more

For information about the awards, nominations and how to attend, contact Ryan Bessent, Head of Programme and Event Attendance on ryan.bessent@int-comp.org.