Best Use of Technology in Compliance (In-House Team)

This award recognises an in-house team that has successfully leveraged technology to enhance compliance effectiveness, strengthen risk management and deliver meaningful business outcomes. 

The winning entry will demonstrate how technology has been used to solve a compliance challenge, improve efficiency, strengthen governance, support regulatory compliance or enable a more proactive approach to managing risk. 

Judges will look for evidence of innovation, strong execution, collaboration and measurable impact. The focus of this category is the organisation's use and implementation of technology rather than the technology provider or product itself. 

Eligibility

  • Open to in-house teams that have successfully implemented or deployed technology to strengthen compliance, governance, risk management or financial crime controls. 
  • This category is not open to advisory firms or outsourced service providers (please see Technology Partner of the Year or Advisory Firm of the Year). 
  • Entries must demonstrate activity and impact within the last 12-18 months. 
  • The organisation or project team must be based in or operating within Europe.

Criteria

  • Your submission needs to respond to the 3 criteria sections: Spirit, Approach and Outcome.
  • You will be awarded a maximum of 10 points per section (30 points in total).
  • Questions are suggested in each criteria section. These are prompts to help you think about the evidence that will help judges to best assess your entry. You do not need to address all questions, please use them as a guide.
  • The 4th criteria section Validation is optional and is your opportunity to provide supporting documents to further demonstrate to judges why your submission should win. You can submit up to 3 supporting documents.

 

Spirit: Tell us about the project, programme or initiative and the challenge it was designed to address

You may wish to include:

  • The compliance, financial crime or risk management challenge being addressed  
  • The business or regulatory environment that influenced the initiative  
  • Existing inefficiencies, risks or limitations that required improvement  
  • Key drivers for change, such as regulatory developments, growth, transformation programmes or evolving customer expectations  
  • The objectives of the initiative and the outcomes the team hoped to achieve  
  • Any complexities or constraints that influenced design or delivery, such as legacy systems, resource limitations or cross-functional dependencies

 

Approach: Describe how the technology solution was selected, designed, implemented and embedded within the organisation

You may wish to include examples of:

  • The technology used and how it addressed the identified challenge  
  • Key features, functionality or capabilities of the solution  
  • Innovation demonstrated through the use of AI, analytics, automation, machine learning, RegTech or other emerging technologies  
  • How the solution was tailored to meet business, regulatory or compliance needs  
  • Collaboration between compliance, technology, legal, risk, operations or other stakeholders  
  • User adoption, training and change management activities  
  • Consideration of user experience, accessibility, scalability or future development  
  • What differentiated the initiative from a routine technology upgrade or system implementation 

 

Outcome: Demonstrate the value and outcomes delivered through the use of technology

Evidence may include:

  • Achievement of the initiative's original objectives  
  • Improvements in compliance effectiveness, governance or risk management  
  • Enhanced monitoring, reporting, oversight or decision-making  
  • Increased efficiency, productivity or scalability  
  • Reduction in manual processes, operational effort or risk exposure  
  • Improvements in user engagement, adoption or stakeholder experience  
  • Positive business outcomes or regulatory benefits  
  • Evidence of cultural or behavioural change, where applicable  
  • Plans for sustaining success through ongoing optimisation, integration or expansion  
  • Both quantitative and qualitative evidence are welcome.

 

Validation (Optional): Support your submission with additional evidence to help judges understand why your initiative deserves recognition

Examples may include:

  • Screenshots, dashboards or system demonstrations  
  • Performance metrics, adoption statistics or engagement data  
  • Internal reports, audit findings or review outcomes  
  • User feedback or stakeholder testimonials  
  • Independent assessments or programme evaluations 
  • You may submit up to three supporting documents.