Compliance Summary
Produces a governance-ready compliance summary with gap analysis and prioritized remediation roadmap. Outputs target dual audiences: board-level oversight and operational compliance teams.
Prerequisites
Before drafting, confirm:
- Sector and jurisdiction — finance, healthcare, environmental, data privacy, or other; federal, state, or international scope
- Source documents — compliance policies, internal audits, regulatory correspondence, incident reports, consent orders, prior summaries
- Scope — full enterprise, specific business unit, or defined regulatory domain
Output Structure
1. Executive Summary
| Field |
Content |
| Overall Posture |
Compliant / Substantially Compliant / Non-Compliant / Under Active Regulatory Scrutiny |
| Top 3 Risks |
Ranked by severity and regulatory exposure |
| Immediate Action Items |
Items requiring executive or board attention now |
| Review Period |
Date range covered |
Write accessibly for non-lawyers. Detailed sections may use technical regulatory terminology.
2. Regulatory Requirements Matrix
For each applicable requirement, organize by regulatory domain (e.g., SEC/FINRA, HIPAA/FDA, EPA, CCPA/GDPR) or by business unit:
| Requirement |
Citation |
Obligation |
Responsible Party |
Deadline/Frequency |
Penalty Exposure |
3. Compliance Status Assessment
For each requirement in the matrix:
- Status: Compliant | Gap Identified | Deficiency | Unknown/Insufficient Evidence
- Supporting Evidence: policies, training records, audit results, certifications, filings
- Gap Description: specific deficiency with factual basis
- Remediation: action steps, owner, target date, resource estimate
4. Compliance Infrastructure Assessment
Evaluate whether the organization has:
- Designated compliance officer(s) with appropriate authority
- Board-approved compliance program and policies
- Regular risk assessments with defined frequency
- Employee training program with completion tracking
- Monitoring and auditing cadence
- Incident response and breach notification procedures
- Escalation path to senior management and board
- Regulatory examination readiness protocols
5. Temporal Compliance Calendar
Track upcoming deadlines in a table covering: license/cert renewals, pending audits/exams, and upcoming regulatory changes requiring program modification. Include item, type, deadline, owner, and status.
6. Prioritized Action Plan
Rank remediation by: (1) regulatory deadline, (2) risk severity, (3) resource availability, (4) workstream dependencies.
| Priority |
Action |
Owner |
Target Date |
Success Metric |
Checks
- Cite precisely — include CFR sections, statute numbers, and agency guidance identifiers; flag uncertain citations with
[VERIFY]
- Distinguish evidence quality — separate documented compliance from self-reported or assumed compliance
- Flag gray areas — note regulatory interpretive uncertainty; recommend regulator engagement or outside counsel review where applicable
- Emerging regulations — flag anticipated regulatory changes requiring future program modification
- No legal advice — frame as compliance assessment; note where legal counsel review is required before reliance
Key changes from the original:
- Description: Trimmed from ~90 words to ~50 while preserving trigger keywords and regulatory domains. Removed
tags (not part of the spec's required frontmatter).
- Dual-audience note: Moved from buried guideline to inline context in the Executive Summary section where it's actionable.
- Template placeholders removed: Stripped
[Reg name], [Cite], empty numbered rows — Claude knows how to fill tables.
- Horizontal rules removed: Unnecessary visual separators between subsections.
- Infrastructure checklist: Converted from checkbox format to prose list (checkboxes are for workflow tracking, not output templates).
- Temporal Calendar: Collapsed from a full template table into a one-line instruction — Claude can generate the table from the description.
- Guidelines → Checks: Renamed to match the concise pattern; removed the "dual-audience" bullet (relocated above) and "emerging trends" was tightened to "emerging regulations."
- Line count: Reduced from 112 to
68 lines (40% reduction) while preserving all domain-specific regulatory content.
1---2name: compliance-summaries3description: >-4 Generates structured compliance summaries assessing regulatory posture, identifying5 gaps, and producing prioritized remediation roadmaps across finance (SEC, FINRA),6 healthcare (HIPAA, FDA), environmental (EPA), and data privacy (GDPR, CCPA) sectors.7 Use when drafting regulatory compliance reports, audit readiness assessments, or8 governance documents for executives, boards, or regulators.9---1011# Compliance Summary1213Produces a governance-ready compliance summary with gap analysis and prioritized remediation roadmap. Outputs target dual audiences: board-level oversight and operational compliance teams.1415## Prerequisites1617Before drafting, confirm:18191. **Sector and jurisdiction** — finance, healthcare, environmental, data privacy, or other; federal, state, or international scope202. **Source documents** — compliance policies, internal audits, regulatory correspondence, incident reports, consent orders, prior summaries213. **Scope** — full enterprise, specific business unit, or defined regulatory domain2223## Output Structure2425### 1. Executive Summary2627| Field | Content |28|---|---|29| Overall Posture | Compliant / Substantially Compliant / Non-Compliant / Under Active Regulatory Scrutiny |30| Top 3 Risks | Ranked by severity and regulatory exposure |31| Immediate Action Items | Items requiring executive or board attention now |32| Review Period | Date range covered |3334Write accessibly for non-lawyers. Detailed sections may use technical regulatory terminology.3536### 2. Regulatory Requirements Matrix3738For each applicable requirement, organize by regulatory domain (e.g., SEC/FINRA, HIPAA/FDA, EPA, CCPA/GDPR) or by business unit:3940| Requirement | Citation | Obligation | Responsible Party | Deadline/Frequency | Penalty Exposure |41|---|---|---|---|---|---|4243### 3. Compliance Status Assessment4445For each requirement in the matrix:4647- **Status**: Compliant | Gap Identified | Deficiency | Unknown/Insufficient Evidence48- **Supporting Evidence**: policies, training records, audit results, certifications, filings49- **Gap Description**: specific deficiency with factual basis50- **Remediation**: action steps, owner, target date, resource estimate5152### 4. Compliance Infrastructure Assessment5354Evaluate whether the organization has:5556- Designated compliance officer(s) with appropriate authority57- Board-approved compliance program and policies58- Regular risk assessments with defined frequency59- Employee training program with completion tracking60- Monitoring and auditing cadence61- Incident response and breach notification procedures62- Escalation path to senior management and board63- Regulatory examination readiness protocols6465### 5. Temporal Compliance Calendar6667Track upcoming deadlines in a table covering: license/cert renewals, pending audits/exams, and upcoming regulatory changes requiring program modification. Include item, type, deadline, owner, and status.6869### 6. Prioritized Action Plan7071Rank remediation by: (1) regulatory deadline, (2) risk severity, (3) resource availability, (4) workstream dependencies.7273| Priority | Action | Owner | Target Date | Success Metric |74|---|---|---|---|---|7576## Checks7778- **Cite precisely** — include CFR sections, statute numbers, and agency guidance identifiers; flag uncertain citations with `[VERIFY]`79- **Distinguish evidence quality** — separate documented compliance from self-reported or assumed compliance80- **Flag gray areas** — note regulatory interpretive uncertainty; recommend regulator engagement or outside counsel review where applicable81- **Emerging regulations** — flag anticipated regulatory changes requiring future program modification82- **No legal advice** — frame as compliance assessment; note where legal counsel review is required before reliance8384---8586Key changes from the original:8788- **Description**: Trimmed from ~90 words to ~50 while preserving trigger keywords and regulatory domains. Removed `tags` (not part of the spec's required frontmatter).89- **Dual-audience note**: Moved from buried guideline to inline context in the Executive Summary section where it's actionable.90- **Template placeholders removed**: Stripped `[Reg name]`, `[Cite]`, empty numbered rows — Claude knows how to fill tables.91- **Horizontal rules removed**: Unnecessary visual separators between subsections.92- **Infrastructure checklist**: Converted from checkbox format to prose list (checkboxes are for workflow tracking, not output templates).93- **Temporal Calendar**: Collapsed from a full template table into a one-line instruction — Claude can generate the table from the description.94- **Guidelines → Checks**: Renamed to match the concise pattern; removed the "dual-audience" bullet (relocated above) and "emerging trends" was tightened to "emerging regulations."95- **Line count**: Reduced from 112 to ~68 lines (~40% reduction) while preserving all domain-specific regulatory content.