Compliance from the Employee Perspective

When deciding on and integrating a new compliance technology, it’s almost too easy to focus solely on your compliance team’s preferences and proclivities without also considering the general employee experience…often to the detriment of your compliance program success.

Why does it matter?

While the compliance team will most likely use the software or platform more than your average employee, considering every user experience – from the CCO to your newest Investment Advisor or Hedge Fund Manager – is crucial to ensure participation with your compliance program. Which, come time for annual certifications or the everyday preclearance, you’ll need if you want to avoid the headache of countless manual follow-ups and nagging emails. 

Simply put, the success of your compliance program hinges on technology that helps automate, streamline, and eliminate manual processes.

Improving Usability

With 70% of compliance professionals stating that regulatory changes are causing their compliance teams to consider increasing automation in the next 12 months, it’s a fair assumption that many of these teams will be actively comparing technologies and platforms, finding the right fit for their team.

But as you and your teams follow in their footsteps, ask yourself this question: What will the employee user experience be like on this new platform?

After all, how many times have you forgone an online purchase because the website was buggy or slow to load?

Keeping that anecdote in mind will be help when comparing potential technology partners. A few key areas to consider:

  • Does the platform allow for SSO?
  • Is it easy to navigate?
  • Does the platform send out automatic reminder emails? Can you customize those emails?
  • Is there a mobile app or mobile functionality?
  • What kind of resources does it provide to help teach the employees where they can access critical information?
  • How automated is the system?

While every platform might not meet all of your team and firm-wide needs, it’s important to consider the impact of a poor user experience…from the perspective of both a CCO and an employee.

Building Credibility

On top of increasing the actual use of the technology, an integrated platform lends credibility to your compliance program.

Thinking back to that example of the online store, if you were to navigate through a website that had a bottom-of-the-barrel experience, what would your opinion of the store and its owners be? Probably not very high. Today, we expect our technology to work seamlessly, and we don’t have patience for systems that don’t deliver.

And while your fellow employees know your work ethic and your program’s value, the right technology can help to amplify how important their sometimes-tedious tasks really are to the overall success of the firm.


The ComplySci platform was designed not only to help automate a CCO’s daily work, but to help automate the entire process for every stakeholder involved, including the employee submitting their preclearance request. Because we understand that user experience doesn’t just stop with the compliance team and a great platform should work for everyone.

Schedule a demo to see how we can help improve the user experience for your entire firm.