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The Finance Excellence Awards celebrate the people, businesses and organisations doing exceptional work. Explore the categories and help recognise someone shaping the future through their achievement, leadership and impact.
Finance Excellence Awards
Compliance and Risk Professional of the Year Award
Keeping firms and customers safe.
About this category
This award recognises a compliance or risk professional whose work has protected customers and the firm while helping the business operate well. Judges look for practical judgement, improvements made and influence across the firm.
Eligibility
- Open to compliance
- Risk and governance professionals in financial services
Judging criteria
- Customer protection
- Practical judgement
- Improvements made
- Influence
- Professional development
Qualitative criteria
- A partner to the business
- Not a barrier
Metrics
- Issues identified and resolved
- Improvements delivered
- Audit and regulatory outcomes and stakeholder feedback
Additional criteria
Entries should include a concise case study, supporting figures and, where possible, client or colleague evidence. Client identities and commercially sensitive figures may be anonymised or given as percentages and ranges, and nothing in an entry is shared beyond the judging panel. Firms carrying on regulated activities should hold the relevant FCA authorisation. Judges consider the size of the firm or team, so smaller firms compete on equal terms.
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