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2018 State of Compliance study

Real-time compliance management

Is your compliance and ethics program poised to stay ahead of the changing risk landscape?

With the rapid pace of innovation and technological change comes a more expansive and dynamic risk universe, including greater regulatory risk.

Today’s compliance risk management requires more-responsive and more-predictive processes and monitoring, frequent updates to policies, ongoing training and communication, and high levels of efficiency in order to manage costs while expanding risk coverage. Without a strong technological underpinning to help compliance functions operate in real time, all of these requirements are challenging, if not impossible, to meet.

Current state of UK compliance programme effectiveness

Our global study which included participants from the UK, sought to understand how technology is helping leading companies become more agile and more effective in their compliance and ethics risk management efforts.

Notably, our study found that only 15% of UK respondents are very satisfied with the effectiveness of their compliance programmes. We call those respondents Leaders. Leaders are driving forward by implementing progressive practices in all aspects of compliance risk management and by using information and technology to increase programme effectiveness.

We identified two other distinct classes of organisation in the study - Fast Followers and Strivers - with each making use of new technologies to innovate in their compliance activities in different ways.

What are effective compliance programmes doing differently?

Leaders have demonstrated a greater likelihood to:

  • Invest in tech-enabled infrastructure to support a modern, data-driven compliance function.
  • Increase compliance monitoring effectiveness through analytics and use of technology.
  • Streamline policy management to increase responsiveness and boost policy and procedure effectiveness.
  • Take advantage of information and technology to provide targeted, engaging and up-to-date compliance training.


Contact us

Sam Samaratunga

Sam Samaratunga

Head of Risk, PwC United Kingdom

Simon Perry

Simon Perry

Risk Head of Markets and Services, PwC United Kingdom

Tel: +44 (0)7740 024957

Lola  Ladejobi

Lola Ladejobi

Risk Markets & Services Programme Director, PwC United Kingdom

Tel: +44 (0)7711 562241

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