What is Compliance?

What is Compliance?

Below and on the additional pages in the side bar menu is an introduction to Compliance and Governance.  This may be useful if you are new to recruiting in this area.

In general, compliance means conforming to a rule, such as a specification, policy, standard or law. Regulatory compliance describes the goal that corporations or public agencies aspire to in their efforts to ensure that personnel are aware of and take steps to comply with relevant laws and regulations.


Due to the increasing number of regulations and need for operational transparency, organizations are increasingly adopting the use of consolidated and harmonized sets of compliance controls. This approach is used to ensure that all necessary governance requirements can be met without the unnecessary duplication of effort and activity from resources. Some examples of areas that Financial Service firms must comply include:
Risk and Compliance


The above demonstrates the varied risks and these are more relevant in some sectors than others leading to greater controls/regulations/Compliance.  Various sectors have both the same and unique risks and areas of compliance and this is where our specialisms overlap.  Risks have led to legislations, regulation and standards which many companies have to now comply with as shown above with main recent ones outlined below.