Compliance Team of the Year - Financial Services

This award recognises an outstanding in-house compliance team within a financial services organisation that has demonstrated excellence in supporting its business through strong leadership, effective 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 business while helping the organisation navigate an increasingly complex regulatory, compliance and risk landscape. Judges will look for evidence of a high-performing team that delivers measurable value, supports business objectives, fosters a strong culture of compliance and integrity and helps ensure adherence to regulatory obligations and expectations.

Eligibility

  • Open to in-house compliance teams operating within financial services organisations.
  • Entries must reflect activity and impact within the last 12-18 months.
  • Teams must be based in or have responsibility for operations within Europe.
  • Entries should focus on the overall performance, effectiveness and impact of the team (refer to Initiatives categories if your entry relates to a specific project).
  • Outsourced compliance functions, managed service providers and third-party teams are not eligible.

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, its responsibilities and the environment in which it operates

You may wish to include:

  • The size, structure and remit of the team 
  • The organisation's sector, regulatory environment and key compliance risks 
  • Key priorities and objectives over the last 12-18 months 
  • Significant regulatory, business or operational challenges faced by the team 
  • How the team's role supports organisational strategy, governance and regulatory obligations 
  • Any notable changes in team responsibilities, scope or operating environment

 

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 expertise 
  • How the team has built trusted relationships with business leaders and key stakeholders 
  • How the team has influenced decision-making and supported organisational objectives 
  • How the team promotes ethical behaviour, accountability, integrity and a culture of compliance 
  • Evidence of effective resource management, prioritisation and resilience 
  • How the team has responded to regulatory change, supervisory expectations or emerging risks 
  • Any examples of innovation or continuous improvement that strengthened the team's effectiveness

 

Outcome: Demonstrate the value and impact delivered by the team

Please include evidence such as: 

  • Key achievements over the past 12-18 months 
  • Feedback from senior leadership, regulators or business stakeholders, where available 
  • 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 or stakeholder satisfaction
  • Both quantitative and qualitative evidence are welcome.

 

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

Examples include:

  • Short testimonials (100 words maximum each) from internal stakeholders, business leaders or executive sponsors 
  • Employee engagement, retention or development metrics 
  • Internal feedback or stakeholder satisfaction results 
  • Audit findings, assurance reviews or independent assessments 
  • Evidence of improvements in compliance, governance or risk management outcomes 
  • External recognition received by the team 
  • You may submit up to three supporting documents for this section.