From Policy to Practice: Operationalizing Compliance Through Technology

There’s a theory in behavioral psychology that posits that, when solving a problem, humans (and the businesses they run) are more likely to add something, than subtract something. We would rather add complexity than simplify. When it comes to compliance, this means organizations are more likely to write another policy to fix retention and disposition failures than re-write existing ones. Operationalizing compliance, however, isn’t about more rules: it’s about fixing how you handle the ones you’ve already written. And compliance technology is the answer. 

What Does “Operationalizing Compliance” Mean? 

Quite simply, operationalizing compliance means taking your firm's written policies around retention and disposition and turning them into repeatable, enforceable workflows. Most firms have compliance policies on “paper,” (retention schedules, security protocols, client confidentiality agreements, etc). But policies are only as good as the procedures built to enforce those policies. Without an actionable, detailed standard operating procedure (SOP), your compliance stalls on the (digital) page, opening you to legal risk, reduced client trust, and regulatory unpreparedness. Creating a functioning SOP can be a challenge, however, because: 

• Data sprawls across multiple repositories, each with its own rules and limitations.
• Manual processes leave too much room for human error or delay.
• Compliance officers and IT teams are stretched thin, unable to monitor every file and folder.

In short, operationalizing compliance is about bridging the gap between policy and practice, making sure rules are carried out consistently, at scale, every day.

The Role of Compliance Technology 

Technology has taken SOPs digital, no longer requiring manual processes and reducing human error. Workflows can tap into all the points that you touch, whether a DMS or physical records. It can also remove the guesswork from the end user. As FiT CRO Anthony Forde notes about FiT’s Information Governance platform, “The end user doesn’t get to make any choices. It’s the company. That’s their risk team that tells them how to manage [all files and data]”. By centralizing enforcement, firms ensure rules are applied consistently, without relying on individual interpretation. 

And this is what compliance technology is great at. It can: 

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• Automate what was manual: Retention schedules, access controls, and deletion workflows happen automatically, reducing human error.
• Increase visibility and monitoring: Dashboards, alerts, and audit trails provide real-time insight into what’s happening across repositories.
• Provide consistency at scale: The same rules apply uniformly, whether you’re managing thousands of contracts in a DMS or archived case files in the cloud.
• Improve response times: Technology enables firms to meet regulatory deadlines, such as eDiscovery requests or audits, in hours instead of weeks.

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Compliance technology extends the benefits beyond risk reduction, as well. Enforcing policies automatically helps cut storage costs, since duplicate and expired files don’t linger. It also improves client trust by ensuring data handling matches the firm’s promises. For firms considering AI, compliance technology lays the foundation for ensuring the data feeding those tools is accurate, governed, and defensible.

How the Right Compliance Technology Simplifies Information Governance 

Compliance often gets a reputation for adding complexity—extra steps, more approvals, another layer of oversight. But the right compliance technology does the opposite. Instead of slowing down workflows, it simplifies them by embedding governance into the systems firms already use.

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Streamlined Workflows

Effective compliance technology automates routine governance tasks like retention, disposition, and access management. Rather than relying on IT or records managers to manually apply rules, policies are enforced automatically in the background. That means fewer workarounds, fewer support tickets, and fewer errors.

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Ease of Use

Software that requires extensive training or endless clicks will never be fully adopted. A three-click workflow is far more likely to stick, allowing compliance staff, records managers, and even non-technical users to complete tasks quickly and accurately. Adoption improves when the system feels intuitive, not burdensome.

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Durable Integrations

Most compliance breakdowns occur when systems don’t talk to each other. The right platform integrates natively with DMSs, cloud drives, and collaboration tools, reducing the risk of disjointed workflows. Stable, monitored integrations ensure that when outside systems update, compliance enforcement doesn’t break.

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Consistent Enforcement

By centralizing governance, compliance technology ensures the same policies apply across all repositories no matter where the file lives: DMS, email archive, cloud share, or even physical repository. This reduces the risk of gaps or inconsistencies, creating a stronger defense against regulatory scrutiny.

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Cost and Risk Reduction

Simplifying governance also reduces costs. Automated policy enforcement prevents unnecessary storage of redundant or obsolete files, lowering cloud bills. And by reducing compliance gaps, firms lower their exposure to fines, client disputes, and reputational risk.

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When technology makes governance easier, firms gain both efficiency and confidence. Compliance stops being a manual burden and becomes a natural part of how information flows through the organization.

Compliance Technology in Practice 

Imagine a firm with case files spread across a DMS, email servers, cloud storage, and a physical records room. Without the right compliance technology, enforcing a seven-year retention policy means four separate processes - each with its own risks of oversight or delay.

With an integrated governance platform, the policy is configured once and enforced everywhere. Digital records in the DMS and cloud are flagged and disposed of automatically at the right time. Physical records are queued for review and destruction within the same workflow, so nothing is missed.

The result is a single, consistent enforcement process that eliminates manual workarounds and ensures compliance across all formats. For firms, that means less administrative overhead, fewer errors, and a defensible record of compliance if regulators or clients come calling.

Why Ease of Use Matters as Much as Functionality 

Even the most powerful compliance system fails if no one wants to use it. Complexity is the enemy of adoption. When compliance tools require too many clicks, steep training, or constant IT support, firms end up with frustrated staff and inconsistent enforcement. That’s why ease of use is just as critical as functionality. The right tool will not only do the right things, it will make them simple for users. 

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The FiT Advantage

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• Three-click interface: Critical compliance tasks can be completed in three clicks or less, removing friction from everyday workflows.

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• Built for every user: Workflows are designed so both technical and non-technical staff can execute them confidently, without specialized training.

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• Configurable, not customized: FiT’s platform adapts to firm-specific rules without altering the core code. This ensures stability and future-proofing, so updates and integrations remain seamless.

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The result is technology that enforces compliance and encourages adoption. Firms gain stronger governance because the system is actually used, day in and day out, without creating extra burden for the people who rely on it.

Steps to Operationalize Compliance in Your Firm

Operationalizing compliance doesn’t have to be overwhelming. Breaking it into clear, actionable steps helps firms move from policy-on-paper to policy-in-practice.

1. Audit your current policies and processes for gaps. Start with an honest review of where compliance is breaking down. Are retention policies actually enforced across all repositories? Are there manual workarounds that create risk? A clear baseline reveals where improvements are most urgent.

2. Identify manual tasks that can be automated. Look for repetitive processes—like applying retention schedules, running audits, or provisioning access rights—that eat up staff time and introduce human error. These are prime candidates for automation.

3. Prioritize platforms with the right foundation. The technology you choose should reinforce, not complicate, your compliance efforts. Look for:

• Configurable workflows that adapt to your firm’s policies easily and without extensive (i.e. expensive) additional coding needed.
  
  
• Seamless integrations with the repositories and systems you already use.
  
  
• Intuitive interfaces that make it easy for both technical and non-technical staff to adopt the system.
  
  

4. Roll out with training and clear ownership. Even the best technology fails without buy-in. Provide training that shows staff how the system simplifies their work. Assign ownership—whether to compliance, risk, or IT teams—so accountability for ongoing enforcement is clear.

By approaching operationalization in stages, firms can build compliance programs that are both defensible and sustainable. 

A Final Note 

Compliance policies only protect you when they’re put into action. Compliance technology makes following your policies scalable and sustainable. Future in Tech (FiT) has built its compliance technology for ease of use, which results in adoption rates well above industry norms (over 80% to be exact). With durable integrations and workflows that even non-technical staff can use, our information governance platform is built to adapt to the future - whatever changes are thrown at us. 

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Schedule a demo to see how FiT can transform your policies into actionable, sustainable practice. https://bit.ly/45uPFnU 

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