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The KPMG Compliance Index Model

The KPMG Compliance Index Model

How to measure and predict compliant behaviours

Seabstian Rick

Senior Manager, Financial Services

KPMG AG Wirtschaftsprüfungsgesellschaft


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Lighthouse in the dark

Companies spend a lot of money on compliance to ensure they don’t step out of line with legal and internal requirements. As a notable example, banks have in recent years introduced extensive compliance management systems which aim to prevent and reduce misconduct. Further checks, controls and inspections are also available, yet for many companies this can often be a waste of money.

However, you can effectively prevent this by using our Compliance Index Model. Our quantitative model allows you to effectively manage the implementation and efficacy of formal compliance management systems and thus to assess whether compliance with measures really brings about change in your compliance culture. This means that companies can create a customised basis for effective compliance management that perfectly suits their needs.

Our common goal

  • Quick and affordable means of measuring and benchmarking compliance culture
  • Compliance Index serves as an important key performance indicator (KPI) of employee compliance in companies
  • Cause-and-effect relationships between measures and employee behaviours (predictive capabilities)
  • Overall measurement and management of effectiveness of measures and programmes
  • Employee-based, data-driven approach to improve effectiveness of measures and programmes
  • Reduced preliminary work for activities to improve compliance culture
  • In-depth internal and external benchmarking capabilities

This is how we proceed

  • Standardised, strictly anonymous employee surveys serve as data input for an empirically based, tried-and-tested cause-and-effect model
  • The survey is conducted in writing in the form of an in-depth self-responding questionnaire 
  • The survey participants are not required to have any compliance-specific subject knowledge
  • Measuring instruction: 10-point evaluation and intensity scales (multi-item measurement scale)
  • Survey duration: approx. 15-20 minutes
  • The questionnaire is available in both German and English
  • The effect relationships are determined through the causal-analytical PLS method (causal-predictive method)
  • The Compliance Index and the performance dimensions are composed through factor-analytical methods

Your success

  • Gain insights into your employees’ attitudes and behaviours
  • Receive important findings on the effectiveness of measures to reduce risks
  • Identify employee groups subject to risk in your company
  • Initiate a systematic learning process to promote compliance culture
  • Underscore the importance of compliance in your company
  • Generate vital and valuable information on improving existing measures and programmes to reduce risks
  • Monitor the effectiveness of measures and programmes
  • Raise awareness of compliance in your company
  • Receive results characterized by a high degree of objectivity and comparability (“successes”)
  • Benefit from an empirical, tried-and-tested, quantitative model
  • Keep a lid on money and time spent by your company without losing sight of your individual needs and requirements

Have we caught your interest? Please do not hesitate to contact us – we look forward to hearing from you.

© 2020 KPMG AG Wirtschaftsprüfungsgesellschaft, eine Aktiengesellschaft nach deutschem Recht und ein Mitglied der globalen KPMG-Organisation unabhängiger Mitgliedsfirmen, die KPMG International Limited, einer Private English Company Limited by Guarantee, angeschlossen sind. Alle Rechte vorbehalten.

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