Why Compliance Recommendations Are Often Ignored

After working with hundreds of compliance officers in FinTech , I started to recognize 3 common mistakes that lead to their proposals or recommendations being unheard or ignored.

And it has nothing to do with how many hours you’re putting in or how much regulatory knowledge you have.

#1) 70% or more of your communications? and presentations with peers and senior management are educational and focused on explaining regulatory details.

You may be precise and accurate. But, uh, there’s little to zero traction.? While there’s a time and a place for educating and training your colleagues and senior management, it’s not effective 100% of the time (or, even 70% of the time!).

Because when you do this, they have probably heard it before or read it online or just suspected it based on their own common sense. If they have not taken any action by now based on their previous understanding of the regulatory environment, why should they do so now?

You’ve got to mix in other strategic arguments (which I’ll teach you how within the FinTech Startup Compliance Pro Certification Curriculum), so that your proposal can become persuasive.

#2) Generalized Advice or Waiting for Others to Speak First

If you often delay or withhold your compliance recommendation until you get an external legal advice or until your own research if fully complete, or if your recommendation is to "wait until we have more data" or "let's continue what we've done thus far until the next audit", you train your senior managers that original ideas or creative solutions never come from you.?

Inside the Certification,? I’ll break down how to bring up your ideas and get your stakeholders onboard even when you are not 100% sure about the outcome.

#3) Thinking extreme honesty alone will build your authority

You don’t have to share your life story or point out mistakes and missteps of others in order to be respected at work.

Being too honest can actually hurt your ability to connect? and build trust with your? senior management when it’s done improperly. What truly helps your peers trust you is when you demonstrate that you are being objective, focused on achieving results (instead of being right) and most importantly - able to make (not suggest, really - make) touch decisions in difficult situations. The true source of trust and authority in business is not knowledge and is not accurate diagnosis. It's being able to demonstrate your character.

We will use the examples of Preparing for the Audit or Designing Your Risk Assessments as? case studies to nail down your communication and persuasion skills and authority-building strategies!

As I keep repeating: success in compliance is 10% regulatory knowledge and 90% diplomacy, and in turn, success in diplomacy heavily relies on your power of persuasion.

Do you know the difference between explaining and persuading?

If you’re like most unheard compliance officers, especially when stepping into a leadership role, you might fall into the “Explaining” trap. That’s where most of my clients start.

Explaining is about convincing others why they should listen to you—talking about results, quoting regulations, or emphasizing consequences. But persuading? That’s a game-changer.

Persuasion is when your communication naturally leads stakeholders—like your management, board, or clients—to conclude on their own that you are the trusted expert who can solve their problems. It’s not about sharing knowledge; it’s about building trust and authority.

Take this example: You visit two doctors about a recurring cold. Doctor #1 lists their credentials and promises results. Doctor #2 accurately describes your unique symptoms without you saying a word. Which doctor would you trust? The one who shows they understand your situation.

That’s the power of persuasion—positioning problems, highlighting missteps, and showcasing yourself as the solution. It’s a skill every compliance professional must master to drive decisions and win resources.

In my certification program, you won’t just learn regulatory knowledge; I’ll teach you how to hone your persuasion skills—the key to being heard, respected, and successful.

The doors to the FinTech Startup Compliance Pro Certification are now open and we are starting on January 15th 2025. It’s time to stop explaining and start persuading on a daily basis and FINALLY see your recommendations and ideas implemented!

If you have wanted to become more strategic and efficient with how you run your compliance function, this program is RIGHT for you.

Trust me –? following the certification curriculum and using the project guides or adapting my templates is not time-consuming. Quite opposite - it is designed to give you your time back.?

There are two options to choose from:

• Installments plan offer (4 installments of 1000 EUR)
• Pay in full 3900 EUR

Please DM me if you have questions or book your FREE discovery call here.