10 Essential Compliance Practices for Fintech Startups
10 Essential Compliance Practices for Fintech Startups
business & industrial / business operations

10 Essential Compliance Practices for Fintech Startups

Drawing from my experience leading global compliance efforts across 40+ financial products, here are 10 actionable practices every fintech startup should implement to build a sustainable, compliant operation from the ground up.

Quynh Keiser
Quynh Keiser
24th May 2025
View:
Suggest Item
Use this list
Practice
Drawing from my experience leading global compliance efforts across 40+ financial products, here are 10 actionable practices every fintech startup should implement to build a sustainable, compliant operation from the ground up.
Practice
Drawing from my experience leading global compliance efforts across 40+ financial products, here are 10 actionable practices every fintech startup should implement to build a sustainable, compliant operation from the ground up.
New Column
1

Implement a Risk-Based Compliance Framework

2

Know Your Regulations (and Keep Knowing Them)

3

Automate Transaction Monitoring Early

4

Build a Culture of Compliance, Not Just a Checklist

5

Conduct Annual Compliance Training Across Teams

6

Maintain a Living Issues Management Log

7

Design with Data Privacy in Mind (GDPR/CCPA)

8

Create a Strong Vendor Risk Management Program

9

Document Everything (Seriously)

10

Build a Scalable Audit Trail Architecture