Small Compliance Team of the Year (<5 team members)

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Small Compliance Team of the Year (<5 team members)
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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 Berenice Lamblin. 

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This award recognises a compliance team, providing the full scope of compliance support to the business, with less than five employees working in the compliance team, regardless of sector or size of business. They will be able to demonstrate how, through agile working, they are supporting and enabling the organisation to conduct its business in full compliance with all relevant national and international laws and regulations.

Judges will be looking for how the team has supported the business in the last 12-18 months ahead of the entry deadline, with evidence to support how they have strengthened compliance within their organisation, elevated the compliance profession and created a culture of compliance within the business. The winner of this award will be delivering exemplary professional standards and working in a flexible, adaptable and efficient way to provide full business coverage on all compliance issues – with a small team.

Eligibility

  • This award is open to all internal teams of less than 5 team members.
  • 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 (as applicable)?
  • 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

  • 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 had to innovate to optimise the scope of compliance support?
  • 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?
  • How has technology been utilised to help the team achieve its goals over the past 12-18 months?
  • How did the team surpass expectations?

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 impact within resource constraints and delivered value for the business?

Validation

  • Judges will be interested to read up to three 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 each testimonial to a max of 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.

Small Compliance Team of the Year (<5 team members)

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To find out more

For information about the awards, nominations and how to attend, contact delegate@int-comp.org.