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 in business & industrial
10 Essential Compliance Practices for Fintech Startups
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

  • 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