Building a Compliance Culture: Insights and Tips

📢 Turning Rules into Business Advantage with a Culture of Compliance

When compliance shifts from a burden to a shared mindset, your business doesn’t just stay out of trouble; it stands out as trustworthy, agile, and ready for anything the future brings.

By empowering employees, embracing practical technology, and weaving compliance into daily habits, you’re setting the stage for growth, new opportunities, and a resilient reputation in your industry. (Includes a quick start checklist!)

📖 Read the Article from NTM Advisory: Building a Culture of Compliance

Compliance Updates

⏹️ President Trump Signs Executive Order to Combat “Debanking”

On August 7, 2025, President Trump signed the “Guaranteeing Fair Banking for All Americans” executive order, putting new pressure on federal banking regulators to crack down on so-called “debanking”—that is, denying or cutting off financial services for customers based on political views, religious beliefs, or lawful business activity. The order requires regulators to audit their policies and past practices within 120 days, with an eye toward fining banks or referring cases to the Department of Justice if their decisions unfairly restrict access. Financial institutions will need to demonstrate fair, risk-based decision-making and should promptly begin reviewing current and historic account terminations to ensure compliance with this heightened federal scrutiny.

⏹️ Treasury Delays Implementation of Investment Adviser AML Rule

In a relief for many financial firms, on August 5, 2025, the Treasury Department's Financial Crimes Enforcement Network (FinCEN) announced it will delay the effective date of the long-anticipated Investment Adviser Anti-Money Laundering Rule (IA AML Rule) from January 1, 2026, to January 1, 2028. This gives registered investment advisers and exempt reporting advisers two extra years to prepare for new customer due-diligence, reporting, and compliance program requirements. The delay reflects ongoing industry feedback about implementation challenges, but affected firms are still encouraged to prepare for heightened AML expectations in anticipation of the rule taking effect.

✅ From Policy to Practice: How Storytelling Makes Compliance Stick

Compliance often gets a bad rap — all rules, no inspiration. But what if it could be as memorable as your favorite movie scene?

Here’s how leaders can use storytelling to turn dry policies into lessons that actually stick:

• Start with a real moment – Forget theory. Share a true story from your own company or industry where following (or ignoring) a policy had a clear consequence — good or bad.

• Make it relatable – Swap jargon for everyday language. If your audience can see themselves in the scenario, they’re more likely to remember and apply it.

• Highlight the ‘why’ – Drive home the purpose of the rule in human terms: protecting customers, preserving trust, or keeping everyone safe.

• Use a hero – People follow people, not paragraphs. Introduce a relatable character — an employee, customer, or even a composite — whose actions illustrate the policy in action.

• Show the ripple effect – Demonstrate how one decision impacts the bigger picture: a safer workplace, stronger client relationships, or avoiding costly errors.

• Keep it short and visual – Pair stories with photos, quick sketches, or infographics to cement the lesson in memory.

Quick Win for Leaders:

Next time you roll out a policy update, skip the bullet list of rules. Instead, kick off your meeting with:

When policies live in stories, they live in action. Employees don’t just nod along — they remember, they apply, and they pass it on.

👇 Webinar: The Evolution of Operational Resilience 👇

Join this OCEG discussion on how leading organizations are turning Operational Resilience into a competitive advantage far beyond regulatory compliance. Whether you are just starting or advancing your resilience journey, this webinar will offer practical insights, examples, and strategies to move beyond simply checking the box for compliance.

August 12, 2025 @ 1 pm ET

🤔 Questions or Concerns?

We’re happy to listen! Just reply to this email and we’ll be in touch!