By: Dr. Stephanie Diana Eubank DBA

Sales drives revenue and growth, while compliance ensures adherence to laws, regulations, and ethical standards. In heavily regulated industries such as finance, education, and technology, these two functions should operate as partners. However, cultural attitudes often position compliance as an obstacle to sales, creating friction that undermines organizational integrity and long-term success (Smith, 2023).

The Adversarial Dynamic Between Sales and Compliance

Sales teams frequently view compliance as a barrier to closing deals quickly. Compliance departments, on the other hand, see themselves as guardians against risk, fraud, and regulatory violations. This tension is particularly pronounced in mortgage finance, where strict regulations govern lending practices. Having worked in mortgage financial compliance for two decades, I have witnessed firsthand how this cultural divide can lead to inefficiencies, strained relationships, and even regulatory penalties (Johnson, 2024).

Compliance as the Sword and Shield

Compliance is not the enemy of sales—it is the sword and shield that protects both the company and its clients. In industries like finance, compliance ensures transparency, prevents fraud, and safeguards consumer trust. Without robust compliance, organizations risk fines, reputational damage, and legal consequences that can far outweigh short-term sales gains (Brown, 2022).

Changing the Business Culture

The adversarial mindset must shift toward collaboration. Sales and compliance should share a common goal: sustainable growth within regulatory boundaries. This requires leadership commitment, cross-functional training, and technology solutions that streamline compliance without slowing down sales processes (Taylor, 2023).

Practical Strategies for Alignment

• Implement joint training programs to build mutual understanding.
• Use compliance technology to automate checks and reduce friction.
• Foster open communication channels between sales and compliance teams.
• Align incentives so that compliance is seen as a value-add, not a hurdle.

Conclusion

Sales is vital for business success, but compliance is equally critical in regulated industries. By reframing compliance as a strategic partner rather than an adversary, organizations can protect their reputation, reduce risk, and enable sustainable growth. After 20 years in mortgage financial compliance, I firmly believe this cultural shift is not optional—it is essential for the future of ethical business practices (Forbes Coaches Council, 2025).

References

Brown, L. (2022). Compliance and risk management in financial services. Journal of Regulatory Compliance, 18(2), 45-59.

Forbes Coaches Council. (2025). Managing compliance and sales alignment. Forbes. https://www.forbes.com

Johnson, R. (2024). Cultural conflicts in mortgage finance. Mortgage Compliance Review, 12(1), 33-47.

Smith, J. (2023). Sales vs compliance: A necessary partnership. Business Ethics Quarterly, 29(3), 78-92.

Taylor, M. (2023). Technology solutions for compliance integration. Tech in Business, 30(2), 88-101.

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