Compliance & Risk Management
Intelligent Compliance Automation
Transform compliance and risk operations with AI-powered regulatory monitoring, automated policy interpretation, and accelerated audit preparation—reducing compliance research time by 55-65% and deflecting 60-70% of policy inquiries.
55-65% faster research
60-70% inquiry deflection
50-60% faster audit prep
Regulatory Compliance & Policy Intelligence
Answer questions about regulatory requirements, identify policy gaps, provide instant policy guidance with citations, and ensure consistent interpretations—reducing compliance research time by 55-65% and deflecting 60-70% of policy inquiries.
- Instant regulatory requirement lookup and impact assessment
- Automated policy interpretation with source citations
- Cross-jurisdictional compliance monitoring and tracking
- Ethics guideline interpretation and precedent lookup
Audit Preparation & Risk Assessment Automation
Instantly surface relevant documents, past audit findings, remediation records, and control testing results—reducing audit preparation time by 50-60% and accelerating risk assessments by 45-55% through automated risk factor identification.
- Automated audit evidence retrieval and compilation
- Historical audit finding and remediation tracking
- Risk factor identification and mitigation recommendations
- Contract and vendor risk assessment automation
See It In Action
Regulatory Requirement Lookup
What are the GDPR requirements for data retention of customer communications?
GDPR Data Retention Requirements:
Core principle:
• Data must not be kept longer than necessary for the purpose
• No specific retention period mandated
Best practices:
• Define retention periods in privacy policy
• Customer communications: 3-7 years typical
• Document business justification for retention
• Implement automated deletion after period expires
Reference: GDPR Article 5(1)(e), Company Policy 4.2
Core principle:
• Data must not be kept longer than necessary for the purpose
• No specific retention period mandated
Best practices:
• Define retention periods in privacy policy
• Customer communications: 3-7 years typical
• Document business justification for retention
• Implement automated deletion after period expires
Reference: GDPR Article 5(1)(e), Company Policy 4.2
Policy Interpretation
Can employees accept gifts valued under $100 from vendors?
Gift Acceptance Policy:
✓ Permitted:
• Gifts under $50 per occasion
• Total annual value from single vendor < $150
• Must be disclosed in quarterly ethics report
⚠ $100 gift requires:
• Manager pre-approval
• Immediate disclosure to Compliance
• Business justification documentation
Reference: Code of Conduct Section 3.4
✓ Permitted:
• Gifts under $50 per occasion
• Total annual value from single vendor < $150
• Must be disclosed in quarterly ethics report
⚠ $100 gift requires:
• Manager pre-approval
• Immediate disclosure to Compliance
• Business justification documentation
Reference: Code of Conduct Section 3.4
Audit Evidence Retrieval
Auditor requesting: Show evidence of quarterly access reviews for Q2 2024.
Q2 2024 Access Review Evidence:
✓ Completed reviews:
• IT Systems: June 15, 2024 (Reviewer: J. Smith)
• Financial Systems: June 18, 2024 (Reviewer: M. Chen)
• HR Systems: June 20, 2024 (Reviewer: K. Patel)
Documentation:
• Access Review Reports (3 files)
• Remediation tracking spreadsheet
• Manager approval emails
Location: Audit folder /2024/Q2/Access-Reviews
✓ Completed reviews:
• IT Systems: June 15, 2024 (Reviewer: J. Smith)
• Financial Systems: June 18, 2024 (Reviewer: M. Chen)
• HR Systems: June 20, 2024 (Reviewer: K. Patel)
Documentation:
• Access Review Reports (3 files)
• Remediation tracking spreadsheet
• Manager approval emails
Location: Audit folder /2024/Q2/Access-Reviews
Risk Assessment
Evaluate compliance risks in proposed vendor contract with CloudTech Solutions.
CloudTech Solutions - Risk Assessment:
⚠ Identified risks:
• Data processing location: Non-EU servers
• Subprocessor clause lacks approval rights
• Liability cap below company standard
✓ Recommended mitigations:
• Require EU data residency addendum
• Add subprocessor approval clause
• Negotiate liability cap to $5M minimum
Risk level: Medium (manageable with amendments)
⚠ Identified risks:
• Data processing location: Non-EU servers
• Subprocessor clause lacks approval rights
• Liability cap below company standard
✓ Recommended mitigations:
• Require EU data residency addendum
• Add subprocessor approval clause
• Negotiate liability cap to $5M minimum
Risk level: Medium (manageable with amendments)
Regulatory Change Impact
New SEC cybersecurity disclosure rules effective Dec 2024. What's our compliance gap?
SEC Cybersecurity Rules - Gap Analysis:
✓ Already compliant:
• Incident response plan documented
• Board cybersecurity oversight established
⚠ Action required:
• Implement 4-day material incident disclosure process
• Update 10-K to include cyber risk management description
• Formalize CISO reporting to Audit Committee
Timeline: 90 days to full compliance
✓ Already compliant:
• Incident response plan documented
• Board cybersecurity oversight established
⚠ Action required:
• Implement 4-day material incident disclosure process
• Update 10-K to include cyber risk management description
• Formalize CISO reporting to Audit Committee
Timeline: 90 days to full compliance
20 hours
Audit preparation time
vs. 40-50 hours manual
50-60% time savings
50-60% time savings