New as a Compliance Officer – Your Roadmap for the First 100 Days

🧭 Taking Responsibility – with System

Starting as a Compliance Officer is a key role in every company. You ensure that internal rules are followed, legal regulations are adhered to, and risks are identified early. In doing so, you are not only a „guardian“ but also a sparring partner for management, departments, and external entities.

The challenge is particularly great at the beginning: you need to familiarize yourself with the company, understand risks, analyze processes, and build internal trust. In this article, I will show you how to systematically get off to a good start as a new Compliance Officer – with a clear focus on practice and effectiveness.

Before you can control rules, you must know the playing field. Get an overview of:

• Structures, processes, and responsibilities
• Existing guidelines, policies, and control systems
• The industry and its specific regulatory requirements

Talk to key contacts in law, risk management, internal audit, data protection, and senior management. This way, you can quickly understand how compliance has been practiced so far – and where there are gaps.

2️⃣ Understanding Your Own Role and Expectations

What exactly is your function in the company? What authority do you have? What duties and rights are associated with the position of Compliance Officer?

Clarify whether you:

• can report independently
• have access to all relevant information
• are directly linked to the management or a committee

A clear clarification of roles prevents misunderstandings later on – and gives you confidence in your daily work.

3️⃣ Risk-Based Start: Where Is Your Focus at the Beginning?

No company is 100% compliant. Therefore, prioritize!
Conduct a preliminary risk analysis:

• Where are the biggest legal risks?
• Which processes are particularly sensitive (e.g., money laundering, data protection, supply chain)?
• Are there any current or past incidents?

With this knowledge, you can create a short-term action plan and achieve visible initial successes.

4️⃣ Building Trust – with Communication and Attitude

Compliance is not self-serving – it thrives on acceptance in the company. Present yourself as a partner, not just a control body. Build an internal network, communicate transparently, and show: Compliance protects – and does not block.

A good start:

• Brief introduction within departments
• Communicate your own values and vision
• Show openness for questions and feedback

5️⃣ Quick Wins: What You Can Make Visible in the First Weeks

Especially at the beginning, it is worth addressing some „visible“ points directly:

• Training and awareness measures (e.g., code of conduct)
• Update outdated guidelines
• Establish a whistleblowing system
• Resolve open questions with the data protection officer

This way you show: You ensure clarity, transparency, and security.

6️⃣ Personal Development – You Are Never „Finished“

As a Compliance Officer, continuous learning is mandatory: laws change, liability issues become more complex, and new risks emerge.
From the start, focus on regular training, for example, on:

• Whistleblower protection laws
• Money laundering prevention
• ESG compliance
• Supply chain responsibility

🧾 Conclusion: Your Role as an Enabler, Not Just an Inspector

Compliance not only means enforcing rules – it also involves early risk detection, creating clarity, and enabling trust. As a new Compliance Officer, you set the tone: Are you perceived as a blocker? Or as a professional who takes responsibility and ensures clean, sustainable action together with the company?

👉 If you want to delve deeper, S+P seminars offer practical training and certified courses to help you get off to a successful start:

🔗 Further S+P Seminars for Compliance Officers

📘 Compliance Officer Course – Compact & Practical

Your foundation for effective compliance management in the company.

📘 MaRisk & WpHG Compliance Course

Special knowledge for compliance officers in financial companies and securities institutions.

📘 Compliance Online Training & Seminars

Flexibly continue education with e-learning and live webinars.