The survey of 755 employees in April 2021 found these failures linked to unnecessary compliance burdens for employees. Thirty-two percent of employees surveyed said they couldn’t find relevant information when they missed a compliance obligation. An additional 20 percent didn’t recognize information was even needed, and 19 percent simply didn’t remember. The remaining 29 percent of employees who missed a compliance step said they didn’t understand (16 percent) or just failed to execute the step (13 percent).
Compliance teams typically embed controls into processes relating to the most high-risk employee functions, seniority levels, and tasks. However, compliance burden is also driving risk in organizations, leading to control failures.
Compliance teams should therefore consider how to minimize the employee burden their controls create, rather than just addressing a set of risks. Using common user experience principles when designing controls will minimize employee burden.