How to ensure compliance with regulations and standards
Build a compliance program that meets regulatory requirements, passes audits, and scales with your business. Turn compliance from a burden into a competitive advantage by implementing systematic controls, automation, and a culture of integrity.
Your Progress
0 of 8 steps completedStep-by-Step Instructions
1 Step 1: Identify applicable regulations and standards
Step 1: Identify applicable regulations and standards
Determine which laws and standards apply to your business: GDPR (data protection), SOC 2 (security), HIPAA (healthcare), PCI DSS (payments), ISO 27001 (information security), industry-specific regulations. Understand geographic requirements if you operate across borders.
2 Step 2: Conduct gap analysis against requirements
Step 2: Conduct gap analysis against requirements
Compare current practices against compliance requirements. Document gaps in controls, policies, procedures, and technical safeguards. Assess risk level of each gap. Create prioritized remediation roadmap addressing highest-risk gaps first.
3 Step 3: Implement required policies and procedures
Step 3: Implement required policies and procedures
Document formal policies covering all compliance domains: data handling, access controls, incident response, employee conduct, vendor management, record retention. Make policies accessible. Train employees on requirements and consequences of non-compliance.
4 Step 4: Deploy technical and administrative controls
Step 4: Deploy technical and administrative controls
Implement security controls: encryption, access management, audit logging, network security. Set up administrative controls: segregation of duties, approval workflows, regular access reviews. Document control descriptions and evidence of operation.
5 Step 5: Establish continuous monitoring and testing
Step 5: Establish continuous monitoring and testing
Monitor control effectiveness continuously: automated security scanning, access audits, policy violation detection. Schedule regular testing: penetration tests, control walkthroughs, compliance audits. Track findings and remediation status.
6 Step 6: Maintain audit trail and evidence
Step 6: Maintain audit trail and evidence
Collect and organize evidence of compliance: control screenshots, approval records, training completion, security scan results, policy acknowledgments. Store securely with retention appropriate for regulations. Make evidence readily accessible for audits.
7 Step 7: Prepare for and pass external audits
Step 7: Prepare for and pass external audits
Engage qualified auditors for required certifications (SOC 2, ISO, etc.). Prepare evidence packages in advance. Conduct pre-audit readiness assessments to identify issues. Be responsive during audit fieldwork. Remediate findings promptly and thoroughly.
8 Step 8: Keep compliance program current
Step 8: Keep compliance program current
Monitor regulatory changes and new requirements. Update policies and controls as regulations evolve. Conduct annual compliance program reviews. Expand compliance scope as you enter new markets or add new products. Make compliance part of product development lifecycle.