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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.

24th May 2025 in business & industrial

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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