Compliance Checker

Overview

Helps prepare for and perform gap analyses against major compliance frameworks (SOC 2, GDPR, HIPAA, PCI-DSS). Includes framework comparison, control categories, automated evidence collection (AWS Config, CloudTrail, etc.), policy and procedure templates, gap analysis procedure, evidence artifact checklist, and a realistic audit preparation timeline.

When to Use This Skill

• Preparing for a SOC 2 Type I or II audit, GDPR assessment, HIPAA compliance project, or PCI-DSS assessment.
• Building or maturing a compliance program.
• The user mentions "SOC 2", "GDPR", "HIPAA", "PCI", "compliance audit", or "evidence collection".

Prerequisites

• The systems, processes, and policies to be assessed.
• Access to cloud provider consoles, ticketing system, HR system, etc. for evidence.
• (For formal audits) An auditor or assessor engaged.

Steps

1. Framework selection & scoping:

   • SOC 2 (common for SaaS — security, availability, confidentiality, processing integrity, privacy).
   • GDPR (EU data protection — consent, rights, transfers, DPIA, etc.).
   • HIPAA (US healthcare — administrative, physical, technical safeguards).
   • PCI-DSS (cardholder data — 12 requirements, SAQ or ROC).

2. Control mapping:

   • List the relevant controls from the chosen framework(s).
   • Map each control to existing or needed policies, technical controls, and evidence sources.

3. Gap analysis:

   • For each control: Implemented? Partially? Not implemented?
   • Document current state, gap, owner, target date, evidence needed.
   • Prioritize by risk and audit timeline.

4. Evidence collection (automated where possible):

   • AWS: Config rules, CloudTrail, IAM Access Analyzer, GuardDuty findings, S3 bucket policies, etc.
   • GCP / Azure equivalents.
   • Application: access logs, change management tickets, incident records, vulnerability scan reports, access reviews.
   • HR / vendor: background check records, NDA repository, vendor risk assessments.

5. Policy & procedure development:

   • Information security policy, access control, change management, incident response, vendor management, data retention, etc.
   • Use templates from frameworks or reputable sources; customize to your org.

6. Audit preparation timeline (example for SOC 2 Type II):

   • 3-6 months before: gap analysis, remediate critical gaps, implement monitoring.
   • 1-2 months: collect evidence, run access reviews, update policies.
   • During audit: respond to requests quickly, have a single point of contact.

7. Output:

   • Gap analysis spreadsheet or Notion page (controls × status × evidence × owner).
   • Evidence collection checklist per framework.
   • Policy templates (or links to good public ones).
   • Sample evidence package structure.
   • 90-day preparation timeline with milestones.
   • Common pitfalls and how to avoid them.

Examples

A realistic SOC 2 Type II gap analysis for a growing SaaS company (with ~40 controls mapped, many already implemented via AWS + basic policies, gaps in formal access reviews and vendor management), plus a 12-week preparation plan and evidence checklist is included. Similar high-level guidance for GDPR and HIPAA.

Edge Cases & Error Handling

• Multi-framework (SOC 2 + GDPR + HIPAA): Map once to a unified control framework (e.g., using a GRC tool) to avoid duplicate work.
• Inherited controls (from cloud providers): Use the provider's SOC 2 / ISO reports + bridge letters.
• Evidence that is hard to produce: Automate as much as possible; for manual processes, create recurring calendar tasks.

Verification

1. Gap analysis is complete and reviewed by security + legal.
2. Critical gaps have owners and target dates before the audit window.
3. Evidence for a sample of controls can be produced on demand within minutes (automated) or hours (manual).
4. Policies are approved and communicated.
5. Mock audit or pre-assessment with the auditor goes smoothly.
6. Success: The organization passes the audit with no (or only minor) findings, and the process is repeatable for future audits.

References

• AICPA SOC 2
• GDPR.eu
• HHS HIPAA
• PCI Security Standards
• Vanta, Drata, Secureframe (compliance automation platforms — great for evidence collection)
• AWS Compliance