Small Compliance Team (<7 team members)
This award recognises a standalone compliance team (with 7 member or less) within a financial services or non-financial services organisation that has delivered outstanding impact despite limited resources. The team will have demonstrated agility, deep regulatory expertise and a strong commitment to embedding compliance across the business.
Judges will look for how the team has supported the business to navigate complex financial regulations with limited capacity and deliver innovative compliance solutions to support growth.
Eligibility
- The team must operate as a standalone compliance function, offering the full scope of compliance support, within a regulated business.
- Sub-teams or specialist teams within a larger compliance function are not eligible for this category (please see Compliance Team of the Year Financial Services).
- Entries must reflect activity and impact within the last 12–18 months.
- Teams must be based in or operating within APAC or MENA.
All entries will be reviewed against the following criteria:
- Spirit
- Approach
- 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.