How to Build a Compliance Program (Without Losing Your Mind)

How Do You Build a Compliance Program From Scratch Without Losing Your Mind?

Starting a compliance program can feel overwhelming—like trying to build a plane while flying it.

With so many regulations, risks, and moving parts, it’s hard to know where to begin.

But here’s the good news: with a clear roadmap, you can build a strong, effective compliance program that protects your business and earns trust.

In this blog, we’ll walk you through how to build your compliance program from scratch, step by step, with practical tips to help you get it right from day one.

Ready to build a program that works? Let’s dive in!

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What Is a Compliance Program?

Think of your compliance program as your business's safety net — a clear system of policies, actions, and checks that help you follow the law, uphold your values, and stay out of trouble.

It answers big questions like:

• What rules do we need to follow?
• Who’s responsible for what?
• What happens if something goes wrong?

And just as importantly: it creates a culture where people feel safe speaking up before something breaks.

This is at the heart of every strong compliance planning process.

Whether you're tackling GRC compliance setup or trying to create consistent compliance workflows, a well-built program is your foundation.

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Why Compliance Matters (Even if You're Just Starting Out)

Building a compliance program might sound like legal red tape.

But let me tell you — it’s not just about rules.

It’s about trust. Safety. And protecting what you’ve worked so hard to build.

A well-run compliance program helps your team avoid costly mistakes, earn customer confidence, and grow with clarity.

It’s the difference between reacting to fires — and preventing them entirely.

Let’s walk through how to build one. From the ground up.

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Why You Need to Build a Compliance Program

If you're new to this space, start by understanding the full scope of the compliance management process — it helps lay the foundation for everything that follows.

Still wondering if it’s worth the effort? Here’s what a strong compliance program can do for you:

• Avoid legal trouble: Fines, lawsuits, and bad press can sink a business. Compliance keeps you a step ahead.
• Build trust: Customers, partners, and even employees want to know you’re playing by the rules.
• Make things simpler: Clear rules make decisions faster. Fewer surprises, less stress.
• Strengthen your culture: People feel safer when they know what's expected — and what happens when lines get crossed.

And here’s the real magic: a good compliance program isn’t a cost center. It’s a growth engine.

Because trust builds momentum.

If you’re starting from scratch, this article will walk you through how to build a compliance program that grows with your business and supports your long-term compliance implementation goals.

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Common Mistakes When Building a Compliance Program

Before we jump into the how, let’s get honest about what trips most teams up:

• Making it all about paperwork (and not people)
• Using confusing language no one understands
• Failing to train regularly — or at all
• Forgetting to test and improve the program over time

These mistakes are common in early-stage compliance implementation efforts — especially when companies treat compliance like a side task instead of a core part of their strategy.

We’re going to avoid those. Starting now.

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The 8 Steps to Build a Compliance Program

To build a compliance program, follow these 8 essential steps:

1. Assign a compliance owner.
2. Identify relevant laws, regulations, and standards.
3. Create a system to track compliance activities.
4. Perform regular risk assessments.
5. Set clear policies and standards.
6. Train your team in practical, engaging ways.
7. Set up auditing and reporting mechanisms.
8. Commit to continuous improvement.

A successful compliance program protects your business, builds trust and supports long-term growth in a sustainable and scalable way.

Now let’s explore each of these steps in detail, so you can understand not just what to do — but how to do it in a way that fits your team, your risks, and your business goals.

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Step 1: Assign a Compliance Owner

Someone needs to steer the ship.

Need proof that ownership works? Uber's data-driven compliance program shows how effective oversight — backed by analytics — can elevate an entire ethics culture. Uber earned Ethisphere’s Compliance Leader Verification by integrating compliance ownership into their operational DNA.

Assign a compliance owner or committee to take responsibility for the program.

• They don’t need to be in legal or C-suite roles.
• They do need time, authority, and support.
• Make sure it’s clear to everyone who’s in charge of what.

When one person or team owns compliance, things get done. It stops falling through the cracks.

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Step 2: Identify Laws, Regulations, and Standards

For companies operating globally or in highly regulated markets, this step can’t be skipped. Just look at Ericsson's DOJ-monitored compliance overhaul. Following a billion-dollar settlement, Ericsson had to rebuild its compliance system from the ground up — under strict regulatory oversight. Their example shows the importance of proactive compliance tracking and legal alignment.

You can’t stay compliant if you don’t know what you’re complying with.

Identify all the external obligations that apply to your business:

• Industry regulations (e.g., GDPR, HIPAA, ISO 27001)
• Local, national, and international laws
• Customer or vendor requirements

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Tip: Create a simple list or matrix showing what applies, why, and who owns it. Keep it updated as your business grows.

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This step helps ensure your GRC compliance setup reflects all necessary standards from day one.

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Step 3: Create a System to Track Compliance

You need to know what’s working — and what’s not.

Set up a simple system to gather evidence:

• Employee training completions
• Internal audits
• Feedback loops and check-ins

Use tools if you can. There are plenty of low-cost platforms to automate tracking and spot trends. But don’t overcomplicate it. Even a shared spreadsheet is better than nothing.

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Pro Tip: Capture "shadow IT" behaviors — like when teams use unapproved tools to get work done. These are hidden risks.

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For additional insight, check out this guide on how to report on compliance activities, which walks through common reports, benefits, and tools for staying accountable.

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Step 4: Perform Risk Assessments

Now ask: Where could things go wrong?

Risks vary by industry, but here are some to consider:

• Data handling (Are people emailing spreadsheets with customer info?)
• Conflicts of interest (Do any vendors have personal ties to your team?)
• Process gaps (Is onboarding consistent — or chaotic?)

Talk to every department. Map your risks. Then prioritize what could cause the most harm and address those first.

Effective compliance planning starts with this kind of risk awareness.

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Step 5: Set Clear Policies and Standards

Need help organizing controls? Consider building a compliance control library to centralize your policies and map them to specific frameworks and risks.

Clarity builds compliance. IQVIA's compliance program for pharma launch is a textbook example. They helped a pharma startup prepare for its first U.S. product launch by translating legal requirements into policies everyone could follow — without jargon or confusion.

Ask yourself: What do we believe in? What are the rules everyone should follow?

• Write it down. Keep it simple.
• Use real-world language, not legal jargon.
• Involve your team — especially those closest to the work.

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Example: One client added a rule that "No sharing files on WhatsApp." It sounds obvious — but now it’s clear, written, and understood.

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Keep policies accessible. Update them often. Treat them like living documents, not forgotten PDFs.

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Step 6: Train Your Team — and Make It Stick

Need an inventive take on training? Revolut's compliance incentive system tied staff bonuses to compliance performance using a 'Karma' points system. It’s a clever way to embed compliance in the culture — not just the training room.

Policies don’t work if no one remembers them.

So let’s make training:

• Engaging
• Practical
• Repeated (not once a year)

Use stories. Quizzes. Mini-lessons. Make it feel like part of the job — not an interruption.

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Try This: Run a monthly "What Would You Do?" scenario in your team meeting. Discuss it. Learn from it. Move on.

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Step 7: Set Up Auditing and Reporting

Time to build your feedback loop.

• Run regular internal audits
• Encourage reporting (anonymously, if needed)
• Act on what you hear

Most importantly: reward people for speaking up. That’s what builds trust.

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Red Flag: If people are afraid to report issues — your program won’t work, no matter how good your policies are.

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Step 8: Commit to Continuous Improvement

Continuous improvement isn’t optional. McWane's post-crisis compliance transformation shows what happens when a company takes compliance seriously — after serious safety violations. Their $300 million investment in safety and ethics overhauled the business and earned them recognition from regulators and industry bodies alike.

Compliance isn’t a one-and-done project. It’s a living, breathing system.

• Set regular reviews of your policies and procedures
• Use audit findings and feedback to drive updates
• Stay ahead of new laws, industry standards, and risks

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Pro Tip: Schedule a quarterly “compliance health check” with your team to assess what’s working, what’s outdated, and what needs to change.

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The best compliance implementation programs adapt as your business grows — and they always get stronger with time.

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‍How to Build a Culture of Compliance

Great programs don’t run on documents. They run on people.

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1. Start with Leadership

When leaders take compliance seriously, so does everyone else.

Say it out loud. Model it. Make it part of the culture.

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“We want to win — but we want to win the right way.”

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That kind of clarity changes everything.

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2. Create Psychological Safety

If someone spots an issue, do they feel safe raising it?

If not, fix that first.

Let your team know:

• Reporting is a sign of integrity, not disloyalty
• Retaliation won’t be tolerated
• You’ll act quickly — and fairly

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3. Keep It Simple, Repeat Often

Don’t over-engineer it.

Use simple language.

Repeat key messages.

Embed compliance into everyday conversations.

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Example: Add a "compliance check" question to your sprint retros or team reviews.

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Compliance Implementation Troubleshooting Tips

Even the best compliance programs hit a few bumps along the way.

Here’s how to troubleshoot common issues:

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Problem: No One Takes Compliance Seriously

• Fix: Get leadership visibly involved. Have leaders talk about compliance regularly — not just in audits.
• Fix: Tie compliance to real business outcomes (e.g., avoiding fines, protecting customer trust).

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Problem: Employees Don’t Understand the Rules

• Fix: Rewrite policies in plain language.
• Fix: Use real-life scenarios in training to make expectations clear.

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Problem: People Are Afraid to Report Issues

• Fix: Reinforce non-retaliation policies often.
• Fix: Make your reporting process anonymous, easy, and well-known.

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Problem: The Program Feels Disconnected from Daily Work

• Fix: Embed compliance checkpoints into team workflows (e.g., reviews, onboarding, sprint retros).
• Fix: Assign champions in each department to localize the message.

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Problem: You Keep Finding the Same Issues in Audits

• Fix: Close the loop — use audit results to adjust training and policies.
• Fix: Involve frontline teams in root-cause discussions to get real insights.

A healthy compliance program evolves. And when you treat problems as signals — not failures — you build a system that gets stronger over time.

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Conclusion & Key Takeaways

Skipping compliance isn't an option. But building it from scratch doesn’t have to break you.

The real risk isn’t complexity—it’s inaction.

Without a clear program, you face fines, reputational damage, and internal confusion.

Worse, you miss the chance to earn the one thing money can’t buy: trust.

Here’s how to take action—without losing your mind:

• 👤 Assign a Real Owner: Make one person responsible so nothing slips through the cracks
• 📋 Write Clear, Simple Policies: No jargon—just practical, repeatable steps
• 🧠 Train Often, Not Once: Use stories, quizzes, and real-world examples that stick
• 🔍 Audit and Listen: Create safe, anonymous ways for people to report issues
• 🔄 Keep Improving: Schedule regular reviews to stay sharp and stay compliant
• 🧱 Build the Culture: Get leadership involved and make compliance part of daily work

Your compliance program isn’t just a checklist—it’s your competitive edge.

Start small, stay consistent, and scale with confidence.

👉 Subscribe to the GRCMana Newsletter for real-world advice, step-by-step frameworks, and insider tips to help you build compliance programs that protect your business and power your growth.

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