Compliance Audit Checklist Builder

Prompt

Build a compliance audit checklist for [COMPANY NAME] in the [INDUSTRY] sector.

Regulatory context:
- Primary regulations applicable: [LIST — E.G., GDPR, SOC2, HIPAA, PCI-DSS, SOX, FINRA, CCPA]
- Company size: [NUMBER OF EMPLOYEES]
- Data types handled: [PII / PHI / FINANCIAL / OTHER]
- Geographic operations: [COUNTRIES OR STATES]
- Last compliance review: [DATE OR 'NEVER']
- Known compliance gaps: [IF ANY]
- Audit type: [INTERNAL SELF-ASSESSMENT / EXTERNAL AUDIT PREP / CUSTOMER DUE DILIGENCE]

Build the checklist:

1. **Regulatory Inventory** — All applicable regulations for my profile, with brief description of what each requires.

2. **Compliance Checklist** — For each regulation: specific requirements translated into auditable yes/no checks:
   - Policy required: [DOES IT EXIST?]
   - Control in place: [IS IT OPERATING?]
   - Evidence available: [CAN IT BE DEMONSTRATED?]
   - Last reviewed: [DATE]
   - Owner: [RESPONSIBLE ROLE]

3. **Gap Analysis Template** — For any 'No' answer: gap description, risk level, remediation action, owner, and due date.

4. **Evidence Collection Guide** — What documentation to gather for each compliance area.

5. **Priority Ranking** — Which gaps pose the highest regulatory and business risk? Address these first.

6. **Compliance Calendar** — Annual schedule of recurring compliance activities and review dates.

Note: Consult legal counsel for official compliance guidance.