Small Compliance Team of the Year (<7 team members) - Financial Services

This award recognises an outstanding standalone compliance team (seven or fewer team members) within a financial services organisation that has demonstrated excellence in supporting its business through professional expertise, strong stakeholder engagement and a commitment to regulatory excellence and good governance. 

The winning team will show how it has built trust and influence across the organisation while helping the business navigate an evolving regulatory environment and manage compliance risk effectively. Judges will look for evidence of a high-performing team that delivers measurable value, promotes a strong culture of compliance and achieves significant impact relative to its size and resources. 

Eligibility

  • The team must operate as a standalone compliance function, offering the full scope of compliance support, within a financial services organisation.
  • Teams must comprise 7 or fewer full-time equivalent (FTE) team members at the time of entry.
  • Sub-teams or specialist teams within a larger compliance function are not eligible for this category. Such teams should enter Compliance Team of the Year - Financial Services where appropriate.
  • Entries must reflect activity, achievements and impact within the last 12–18 months.
  • Teams 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: Introduce your team, including its size, structure and scope of responsibilities

Please include details such as: 

  • A brief overview of the organisation, regulatory environment and key compliance risks 
  • The size, structure and remit of the team 
  • Key priorities, objectives and areas of focus over the past 12–18 months 
  • Significant challenges, opportunities or pressures faced by the team 
  • How the team supports organisational strategy, governance and regulatory obligations 
  • How the team maximises its impact and effectiveness with limited resources 

 

Approach: Demonstrate how the team has demonstrated excellence, innovation and leadership

Please address some or all of the following:

  • How the team has demonstrated leadership, professionalism and technical expertise 
  • How the team has prioritised resources and delivered impact despite its size 
  • How the team has built trusted relationships with business leaders and key stakeholders 
  • How the team has collaborated across the organisation to extend its reach and influence 
  • How the team has promoted ethical behaviour, accountability and a strong culture of compliance 
  • How the team has responded to regulatory change, business priorities or emerging risks 
  • Any examples of innovation, technology adoption, process improvement or creative problem-solving that strengthened the team's effectiveness 

 

Outcome: Share the results and impact of your work

Please include evidence such as: 

  • Key achievements over the past 12–18 months 
  • Impact delivered relative to the team's size and resource 
  • Improvements in compliance, governance, risk management or regulatory outcomes 
  • Evidence of increased trust, influence or engagement across the organisation 
  • Metrics relating to team performance, service delivery, efficiency or stakeholder satisfaction 
  • Evidence that outcomes have been sustainable and embedded within the organisation 
  • Both quantitative and qualitative evidence are welcome.

 

Validation (Optional): Support your entry with any further information to show the judges why your team deserves to win

Examples include:

  • Short testimonials (100 words maximum each) from internal stakeholders, business leaders or executive sponsors 
  • Employee engagement, retention or development metrics 
  • Audit findings, regulatory reviews, assurance outcomes or independent assessments 
  • Benchmarking, reporting or other evidence demonstrating improvement 
  • External recognition received by the team
  • You may submit up to three supporting documents for this section.