How to Create an Effective Compliance Program

Ask five organizations what makes an effective compliance program, and you’ll likely get five different answers. But ask a regulator, and the picture gets a lot clearer. 

Regulators are not looking for perfect documentation, flashy training modules, or one-size-fits-all policies. What they’re looking for is evidence—evidence that your compliance program is real, rooted in risk, and taken seriously across the business. Can you walk the compliance walk or merely talk the talk? 

What Compliance Regulators Look for

Does your team know which laws and standards apply to your business—and are you keeping track as those rules evolve? New GRC regulations, for example, are constantly evolving. Keeping tabs on what’s happening currently and what’s on the horizon is critical to having an effective compliance program—especially in highly regulated industries like healthcare and financial services. 

Is someone responsible for monitoring regulatory changes that could impact your operations or your industry? If not, this is something that should be put into place. 

When was the last time you reviewed and updated your compliance program to reflect regulatory change? It’s important to discuss the impact of new regulations on business operations. Are there related policies that need to be addressed or created? Cross-functional teams, as well as stakeholder collaboration here is key. Otherwise, you end up working in silos, duplicating efforts, and creating confusion. 

Are your policies written in plain language? This includes whether your roles and responsibilities are clearly defined. 

Are your employees and teams trained, prepared, and supported to make the right calls when it matters? If yes, how quickly can you provide documentation confirming this has happened?

What Else Do Regulators Look for? 

A key element will be leadership. For example, regulators want to know that compliance isn’t tucked away in legal, but supported at the top—and echoed by mid-level managers who reinforce expectations day to day. That internal “tone” matters as much as any policy. 

They also want to see structure. Programs should reflect your actual risks, not just legal checklists. That means regular assessments, clear ownership, and policies that evolve alongside the business. 

Training and reporting need to go beyond surface-level, too. Is your training designed for how people actually learn? Do employees know how to raise concerns—and trust the system enough to use it? 

Basically, is your program designed to prevent and detect misconduct? And if something does go wrong, can you show you took reasonable steps to get ahead of it? 

Final Thoughts 

In a nutshell, to have an effective compliance program, you need a comprehensive plan that demonstrates commitment, accountability, and visibility.  

The good news? You don’t have to do everything at once. But you do have to start somewhere. And the fundamentals are a smart place to begin. 

How Can SAI360 Help Your Organization Get Back to Compliance Basics? 

SAI360’s mission reflects a broader shift in how organizations approach compliance—one rooted in shared responsibility. Our integrated SAI360 platform brings together compliance management, policy management, risk assessments, and workforce training to help teams align with evolving regulations and make confident, informed decisions. It’s a foundation that supports not just compliance, but long-term resilience as well. 

Check out our recorded webinar: Navigating the Future: Next-Generation Regulatory Change Management, 

Let’s Start a Conversation 

Schedule a virtual coffee with a team member to learn more.