The Compliance Playbook: 4 proven tactics for getting the resources you need

So, if budgets and headcount are tight, how can you make a successful case for the investment you need?

During our recent webinar, ‘From the frontline: how compliance teams are doing more with less’, we explored a playbook of tactics to help you get the buy-in you need. It’s not just about asking for more; it’s about building a business case that the rest of the firm can’t ignore.

Here are four proven tactics.

Tactic 1: Tell a strategic story

Instead of focusing only on your team’s immediate needs, frame your request around the company's wider goals. Explain how investing in compliance is an investment in the business's future.

Get buy-in by linking every request to the firm’s overall strategy. Show how more resources will help drive the business forward and make processes quicker and easier for frontline, client-facing teams. By connecting your needs to the goals of other departments, you move the conversation from a departmental cost to a business-wide benefit.

Tactic 2: Make the risk real

You need to be direct about the risks of not investing in compliance as a business.

Your fellow leaders need to understand the consequences of failure. This includes not just the potential financial penalties, but also the reputational damage, which can be much harder for a company to recover from. In an extreme case, an audit or investigation acts as a forcing function, focusing everyone’s minds on the importance of having a well-resourced compliance function.

Tactic 3: Focus on the client

Shifting the focus to the client experience is another powerful way to get senior leaders on board. Compliance is often seen as a purely internal function, but it has a huge impact on the client journey.

When pitching for a new tool or process, remind business leaders that you are also thinking about their clients. Explain how your proposed changes will create a smoother, more secure, and more efficient experience for them. This demonstrates that you’re not just solving a problem for your team, but creating a better service for the entire firm to offer.

Tactic 4: Run a trial to prove the value

Sometimes the best way to win people over is to show them the proof. If you’re facing resistance, de-risk the decision for the business by running a trial of a new system or process.

You can roll it out in a limited capacity and run it alongside your existing system to compare the results. By gathering live feedback from staff and trusted clients, you can present concrete evidence of the improvements in time, cost, and experience. This approach gives leaders a choice based on real-world data, rather than just a request.

Conclusion: It's about how you ask

Ultimately, securing the resources you need isn't just about showing how busy you are; it's about strategic communication. By framing your request around business goals, client benefits, and clear, proven data, you can transform the conversation from a plea for help into a compelling business case that leaders will want to support.