Let’s be honest: most employees don’t wake up thinking about compliance. But their participation is critical, especially in high-stakes environments like private equity and hedge funds. Certifications, disclosures, and timely responses aren’t optional. They’re essential to mitigating risk and maintaining regulatory readiness.
Here are four proven ways to drive better engagement—without constant chasing.
1. Make It Frictionless
If your compliance process feels like a hassle, employees will delay—or ignore—requests. The system needs to meet them where they are.
- Allow responses via email—no extra logins
- Pre-fill known fields to cut down on repetition
- Eliminate redundant or unclear steps in workflows
The less effort it takes, the faster people comply.
2. Connect the Dots
Don’t assume everyone knows why a request matters. A few lines of context can improve response rates.
- Explain why a certification is time-sensitive
- Clarify how disclosures tie into firm-level obligations
- Link tasks directly to applicable policies
When employees understand the why, they’re more likely to engage.
3. Set Deadlines and Stick to Them
Open-ended requests get deprioritized. Clear deadlines—enforced with automation—cut through the noise.
- Establish firmwide due dates
- Trigger automatic reminders ahead of deadlines
- Escalate overdue items without manual follow-up
Structure builds habits.
4. Track Participation (and Let Them Know You Are)
Visibility drives accountability. When employees know their responsiveness is monitored, it changes behavior.
- Track task completion across teams and individuals
- Incorporate compliance engagement into performance reviews
- Share completion stats with senior leadership
People prioritize what gets measured.
Driving employee engagement with compliance doesn’t require endless reminders or one-off workarounds. It requires a program that’s structured, intuitive, and aligned with how people actually work. The more you reduce friction and increase visibility, the more your compliance program becomes part of the day-to-day—not an afterthought.