Someone ran a session. People showed up (mostly). A few PDFs were shared. Maybe there was even a quiz. And by the end, everyone swore they’d read the policy.
And just like that, the compliance box was checked. Right?
Not exactly.
When it comes to legally required training, the standard is clear, documented, and up-to-date delivery, and a paper trail to prove it.
Anything less, and you might be more exposed than you think.
Here’s what most companies miss and some tips on how to fix them before they turn into serious problems.
1. Overlooking Business Model Nuances
Compliance isn’t a copy-paste solution. The rules that apply to a SaaS company won’t necessarily apply to a construction firm or a healthcare startup. Your first move is understanding the regulatory framework that governs your industry, location, and business model.
Are you storing customer data? You’ll need to comply with data privacy laws like the GDPR (EU), or CCPA (California). Are you operating financial services? Anti-Money Laundering (AML) training is non-negotiable.
The only way to train your people legally and effectively is to know exactly what you’re training them for. That means identifying:
- Applicable local and international laws
- Industry-specific regulations
- Workforce-specific rules (e.g. remote vs. in-office, contract vs. full-time)
A quick way to start: run a regulatory gap analysis with your leadership or HR team. List every legal obligation and training mandate your company must meet, and match them to your current training initiatives.
2. Treating Legal Counsel as a ‘Nice-to-Have’
This is the most important investment you can make in your compliance journey.
A dedicated legal advisor (whether in-house or outsourced) will help you:
- Interpret gray areas in regulation
- Draft clear internal policies
- Keep you updated on changing laws
- Represent you if things go south
It’s tempting for small or growing companies to push this hire down the road. Don’t. You might want to consider a part-time counsel or legal associate instead.
Look for a legal partner with experience in your sector. A good advisor will not just warn you of risks, they’ll help you build systems that prevent them.
There’s an Easier Way to Keep Everyone Aligned
Staying compliant doesn’t have to mean chasing signatures, digging through inboxes, or wondering who actually read the latest policy.
With a system like Varsi, you can simplify compliance without losing control.
Here’s how:
✅ Centralized Training – Deliver all legally required training from one place, tailored to roles, regions, or departments.
🔁 Automated Reminders – Never follow up manually again; set reminders for refreshers, acknowledgments, and overdue tasks.
📁 Documented Proof – Maintain a secure, time-stamped record of who saw what, and when—for every policy, training, or update.
🔎 Audit-Ready Reporting – Generate reports instantly for regulators, internal reviews, or board presentations.
Varsi helps you turn compliance into something structured, trackable, and out of your inbox for good.
3. Failing to Formalize the Compliance Docket
Your compliance docket is the bundle of every policy, requirement, and standard that governs employee behavior and company obligations. Think of it as the operating manual for staying on the right side of the law.
A typical docket should include:
- Anti-harassment and anti-discrimination policies
- Health and safety protocols
- Data protection and cybersecurity standards
- Code of conduct and ethics policies
- Whistleblower protection
- Training and certification requirements (by role or department)
Make sure this docket isn’t just sitting in a folder somewhere. Upload it to a central, version-controlled platform. Each update should be documented and time-stamped. And every team member should acknowledge receipt.
4. Assuming Employees Just ‘Get It’
Compliance isn’t a one-time onboarding session. It should be integrated into your company’s culture.
At orientation, go beyond the legal jargon. Explain:
- Why each policy matters
- What risks the company is protecting against
- How employees can contribute to staying compliant
- What to do if they spot an issue
When employees understand the why, they’re more likely to engage with the how. You’re not just telling them what to do, you’re making them part of the solution.
Pro tip: Use micro-trainings. Break your compliance modules into short, interactive lessons with real-world examples. People remember stories better than statutes.
5. Neglecting to Re-orient as Things Change
Laws change. Your team grows. Policies evolve. That means compliance orientation can’t be a one-and-done.
You should:
- Re-onboard employees when their roles change significantly
- Retrain after a policy update
- Refresh understanding annually (or more often, for high-risk roles)
Set automated reminders for compliance refreshers. And track completions. If someone misses a required update, follow up. In the eyes of the law, “we meant to” isn’t a defense.
6. Skipping Spot Checks and Internal Audits
Even with the best policies in place, people make mistakes. That’s why regular internal checks matter.
Plan for:
- Surprise spot checks (e.g., are passwords being securely stored?)
- Department-level audits (e.g., are sales team members properly documenting client consents?)
- Compliance simulations (e.g., mock phishing attacks or reporting drills)
These audits should be low-stakes but taken seriously. Use them to coach, not punish. The goal is continuous improvement, not catch-and-burn.
7. Failing to Document Who Knew What, and When
At the end of the day, you want a record. Have every employee sign a disclaimer or acknowledgment form confirming that:
- They’ve received and read all relevant compliance policies
- They understand their responsibilities
- They agree to adhere to the standards
Keep these signatures stored digitally and time-stamped. You’ll need them if you ever face an investigation or lawsuit. In many jurisdictions, proof of training and acknowledgment can mean the difference between liability and protection.
blog.tryvarsi.com 
Leave a comment