Compliance Management

Compliance Management

Ensure compliance with security regulations and standards through proper controls, documentation, and audit preparation.

When to Use This Skill

• Audit preparation
• Compliance certification
• Risk assessments
• Policy development
• Control implementation
• Vendor assessments
• Compliance reporting
• Regulatory requirements

Core Concepts

1. GDPR Compliance Checklist

# GDPR Compliance Checklist

## Lawful Basis
- [ ] Document lawful basis for processing
- [ ] Obtain consent where required
- [ ] Provide clear privacy notice

## Data Subject Rights
- [ ] Right to access (data export)
- [ ] Right to rectification (data correction)
- [ ] Right to erasure (data deletion)
- [ ] Right to portability (data download)
- [ ] Right to object (opt-out)

## Data Protection
- [ ] Encryption in transit (TLS 1.2+)
- [ ] Encryption at rest
- [ ] Access controls
- [ ] Data minimization
- [ ] Retention policies

## Accountability
- [ ] Privacy by design
- [ ] Data Protection Impact Assessment (DPIA)
- [ ] Data processing agreements (DPAs)
- [ ] Breach notification process (<72 hours)
- [ ] Data protection officer (if required)

## Documentation
- [ ] Record of processing activities
- [ ] Privacy policy
- [ ] Cookie policy
- [ ] Data breach procedures

2. SOC 2 Control Framework

# SOC 2 Trust Service Criteria

## Security (Required)
- Access controls
- Encryption
- Firewall management
- Intrusion detection
- Vulnerability management
- Incident response

## Availability
- System monitoring
- Backup procedures
- Disaster recovery
- Capacity planning

## Processing Integrity
- Data validation
- Error handling
- Quality assurance

## Confidentiality
- Access restrictions
- Encryption
- Non-disclosure agreements

## Privacy
- Consent management
- Data retention
- Third-party sharing

Best Practices

1. Gap analysis - Current vs required state
2. Document policies - Clear, comprehensive
3. Implement controls - Technical and operational
4. Train staff - Awareness and procedures
5. Continuous monitoring - Ongoing compliance
6. Regular audits - Internal and external
7. Remediation tracking - Close gaps systematically
8. Evidence collection - Audit-ready documentation

Resources

• GDPR.eu: Official GDPR resource
• SOC 2 Academy: SOC 2 compliance guide
• ISO 27001 Toolkit: Implementation guide