Proactive Compliance

In enterprises where compliance is a known cost of doing business and auditing is a predictable task, a pre-emptive approach to compliance can reduce the cost of compliance projects down the line, and leave the enterprise well-prepared for future auditor visits

A proactive approach to compliance management is accomplished through two steps:

  1. Build and Manage the Compliance Framework
  2. Assure Ongoing Integrity of Internal Controls

Compliance

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Steps Tools Related Research
FastTrack Activity
Word Document Proactive Compliance FastTrack Tool
 
Build Monitor Internal Controls Framework
Excel Document Best Practice Framework Selection Tool
  1. Apply a Governance Framework to Align IT Processes
  2. ITIL Is a Big Commitment, So Make Sure You Need It First
  3. SOX and ITIL: There Is No Dotted-Line Relationship!
  4. Align with COBIT to Harden the Data Center
  5. COBIT 4.0 Offers Quickstart Option for SMEs
  6. Where (and Where Not) to Use COSO for SOX Compliance
Optimize Response to External Requirements
Excel Document Control Self Assessment Tool
Word Document SDLC Control Sheet
Excel Document Access Control Test Sheet
Excel Document Data Classification Guide
Word Document Information Technology Standards and Guidelines
Excel Document Compliance Checklist for Requirements
  1. Control Test Sheets Reduce SOX Audit Risks
  2. Lost in the Wild: Find and Tag Unstructured Data
  3. Data Classification: Everything You Always Wanted to Know but Were Afraid to Ask
  4. Retool Requirements Gathering to Ensure Compliance
Staff Compliance Roles
Excel Document Compliance Staffing Tool
Word Document Job Description: ITControlsAuditor
Word Document Job Description: Chief Privacy Officer
Word Document Job Description: Corporate Compliance Officer
Word Document Job Description: Sarbanes-Oxley Project Manager
Word Document Job Description: IT Asset Manager
Word Document Job Description: Chief Risk Officer
  1. Duty Segregation Mitigates Fraud
  2. Keep Internal Audit Teams Focused on Fraud Prevention
  3. Do-It-Yourself Audit Team Reins in Compliance Costs
  4. Chief Risk Officer: A New Role for Your Enterprise
Gain Assurance of Ongoing Internal Controls
Excel Document Compliance Management Software Readiness Assessment
 
Evaluate Internal Controls at Third Parties
Excel Document Service Provider Compliance Assessment
 
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