How to Choose a Compliance Provider: 11 Questions to Ask

Choosing the right compliance solution is a decisive process for companies eager to operate internationally. Compliance providers are companies or consultants experienced in international jurisdictions, regulatory compliance, and legal support. They help companies meet industry standards and stay compliant with ever-changing regulations. This article provides specific guidance on how to choose a compliance provider—like Ascot International—with eleven key questions to ask to ensure an effective and lasting global partnership.

Why Choosing the Right Compliance Provider Matters

When choosing a compliance provider, it is essential to assess its reliability and services in order to avoid severe penalties, reputational damage, and business stoppages. While some compliance services are confined exclusively to certain local services—such as employment law compliance—others cover data compliance and legal compliance by providing a complete global package. Skills, however, must be coupled with the ability to support the business over the long term through a proactive attitude to risk.

Question 1 – Do They Support Global Compliance Needs?

The first question is whether the compliance provider has a successful track record of managing compliance across multiple jurisdictions. Indeed, labor, tax, and business law regulations vary from country to country requiring significant adaptability. 

For a company that operates globally, it is essential to have a partner that can integrate a centralized view of compliance with a deep understanding of local specifics.

Question 2 – What Is Their Expertise in Your Industry?

Each business sector has specific regulations. What is required in fintech may be very different from the requirements in healthcare, technology, or logistics. This is why it is so important to know if the compliance provider has already worked with companies similar to yours.

 Ask for concrete examples, case studies, or references from similar companies. Make sure they know the relevant regulatory bodies and are up-to-date on regulatory frameworks specific to your market. 

Question 3 – How Do They Handle Data Compliance?

In the global context, data protection is a priority for the company. Inquire about the provider if they are experienced—for example—in handling privacy regulations like GDPR (EU), CCPA (US), and cross-border data transfer laws applicable. Finally, it is relevant to understand whether the compliance provider uses data encryption systems to protect information during international transfers. 

Question 4 – Do They Address Employment Law Compliance?

Many internationally operating companies have employees scattered across regional divisions. Given the changing environment of employment law, it is critical to make sure that the compliance provider can support labor contracts, safety, hiring, and more. Also, consider whether the provider can assist with the drafting and updating of company documents and internal policies in order to remain compliant with regulations at all times. 

Question 5 – What Services Are Included?

Not all compliance services provide the same support. Some are dedicated to consulting, while others include more operational services such as audit preparation, internal audits, document updates, staff training, and violation monitoring. Check if the collaboration is one-time or ongoing and whether it involves internal control tools, regular reporting, and support in handling incidents or inspections by authorities.

Question 6 – What Is Their Regulatory Monitoring Process?

Operating in different markets, you are likely to face regulatory changes frequently. The compliance provider must stay abreast of these changes, communicate them to the company, and adapt to make sure the entire process is compliant. Find out how they operate: do they use a system to automate communications or do they handle everything manually? This is vital for staying up-to-date and avoiding regulatory risks.

Question 7 – Are Their Services Scalable?

The compliance provider must keep pace with company growth. Evaluate whether the services are scalable and whether they can follow you as firm size and operational complexity increase. Find out how they handle that increased complexity and make sure they are prepared to manage multiple jurisdictions at once. Managing a start-up’s compliance is totally different from handling that of a large enterprise.

Question 8 – What Is Their Communication and Delivery Style?

Clarity and timeliness of communications are imperative for a compliance provider. Check whether the provider provides easy-to-understand reports, up-to-date dashboards, or just static documentation. Ask how often you will receive updates, how emergencies are handled, and what channels are used for communication. A competent provider should provide transparency, accessibility, and constant responsiveness.

Question 9 – Do They Offer a Legal Compliance Service?

Not all providers provide true legal compliance services. Some are confined to operational advice, while others have law professionals who can address regulatory requests, respond to official audits, and provide legally sound guidance. Ask if the team includes lawyers or if outside consultants are involved, and clarify whether support also covers litigation, inspections, and formal audits.

Question 10 – How Do They Handle Compliance Training?

Choosing a compliance training provider allows you to benefit from periodic training programs that are relevant and appropriate for different business roles. Ask whether compliance training is available in multiple languages, if it is suitable for operational employees, managers, or leadership, and whether it is updated as regulations change. 

It is also important to understand how course completion is tracked and whether there is a system for documenting and archiving participants’ achievements.

Question 11 – How Do They Price Their Services?

Understanding the pricing model is essential to avoid surprises. Ask if the costs are fixed, hourly, or tied to a subscription. Check what is included in the standard services and what incurs additional fees, such as extra audits, legal support, or frequent regulatory updates. It is also helpful to know if pricing varies by company size, geographic expansion, or target industry.

FAQs

What does a compliance provider do?

A compliance provider helps companies comply with current regulations by offering support on policy, training, legal updates, and audit preparation.

Can one provider cover global compliance needs?

Some do, but not all. It is important to check that they have international expertise and an up-to-date legal network in the countries where you operate.

Is compliance training part of the service?

Not necessarily. Some compliance provider include it, but it varies greatly in quality, languages available, and the frequency of updates.

What makes a good legal compliance service?

The ability to provide accurate guidance for each jurisdiction, to respond quickly to regulatory events, and to keep corporate policies current.

Should startups invest in compliance providers early on?

Yes, especially if it operates in multiple markets, handles sensitive data, or is subject to industry-specific regulations.

References 

Coursera. (n.d.). Regulatory Compliance Specialization. Coursera. Retrieved May 12, 2025, from https://www.coursera.org/specializations/regulatory-complianceCoursera

Interlegal. (2025). How an International Legal Network Expands Your Law Firm’s Capabilities. Interlegal. Retrieved May 12, 2025, from https://www.interlegal.net/how-legal-networks-are-helping-law-firms-adapt-to-multi-disciplinary-client-needs/Interlegal

Waystone. (n.d.). Global Compliance Training. Waystone. Retrieved May 12, 2025, from https://compliance.waystone.com/services/compliance-services/training/