How to Manage Compliance in Your Company

Last updated: 2025-07-28

Compliance management touches many parts of your business—it’s not just a concern for your legal team. Compliance management includes several key areas. Here’s a look at the main components that make up effective compliance management.

Steps to Implement Compliance Management in Your Business

1. Set Clear Policies and Procedures

  • Outline key processes and internal policies – such as workplace safety, code of conduct, and equipment use. Simple, easy-to-understand documents are sufficient for employees.

2. Review Compliance in Key Areas

  • Confirm that employees meet requirements (training, certifications),
  • ensure equipment and devices comply with standards and have current inspections,
  • verify that work areas are safe and meet legal regulations.

3. Train Employees and Keep Them Informed

  • Having policies isn’t enough – employees need to know them. Start with basic training (e.g. workplace safety, ethics, data privacy), then track training and update as needed.

4. Maintain Equipment and Devices Properly

  • Keep up with inspections, maintenance, and calibrations. Store manuals and inspection reports, and schedule checks based on legal requirements and manufacturer guidelines.

5. Conduct Regular Risk Assessments

  • Identify potential areas for violations or safety issues. Integrate risk management with compliance since they are closely linked.

6. Perform Internal Reviews and Audits

  • Conduct internal audits once or twice a year using checklists or audit forms to spot gaps and areas for improvement.

7. Use a Compliance Management Tool (e.g. Aptien)

  • Centralizing training records, inspections, documents, and audits saves time and simplifies external audits. For small businesses, easy-to-use software with minimal setup is best.