AI workflows for compliance.
Showing that the company follows the rules that apply to it: policies, evidence, training and checks.
Who does this work
- Compliance officer
- Compliance manager
- Compliance analyst
Updated
Examples of the workflows identified
- Draft a policy change for its ownerIllustrative
- Map each control to its current evidenceIllustrative
- Map records to the retention scheduleIllustrative
- Prepare a proposed AI use case for approvalIllustrative
- Prepare the evidence to close an audit findingIllustrative
The workflows identified
Marked illustrative: an example of the work, identified, with no workflow template yet.
Draft a policy change for its ownerGives the policy owner a redraft showing changed text, the reason for each change and open implementation questions.Illustrative · not built yet
Map each control to its current evidenceGives the reviewer or control owner an evidence index for each control or safeguard: owner, requirement, latest evidence or verification record, missing periods, and contradictions between documented policy and observed state.Illustrative · not built yet
Map records to the retention scheduleGives the records owner a matrix linking record categories or stores to their approved retention periods, triggers, holds and owners, with conflicts and missing decisions.Illustrative · not built yet
Prepare a proposed AI use case for approvalGives the approvers an intake brief comparing a proposed use of AI with approved policy, listing the reviewers it needs and the facts still missing.Illustrative · not built yet
Prepare the evidence to close an audit findingGives the auditor or compliance lead a comparison of the finding, the promised action and the records supplied, with retest questions.Illustrative · not built yet
Prepare the obligation and filing calendar reviewGives compliance, the company secretary or the environmental lead a list of upcoming obligations, filings and monitoring checkpoints with due dates, named owners, the records on file and the evidence still missing.Illustrative · not built yet
Review records retention exceptions due for a decisionGives the records owner a queue of exceptions to the retention schedule that are expiring, each with its records, reason, approval, review date and any hold.Illustrative · not built yet
Track professional independence confirmationsRegisters requested independence confirmations against responses and disclosed relationships, listing those needing partner review.Illustrative · not built yet
Workflow templates
There is no workflow template for compliance yet: request one below and we build it with you.
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Tell us the compliance work you need and the team that does it, and we build the workflow with you from your own procedures.
Where to go next
All of compliance, risk and privacyEvery area of the function, with workflow templates and examples.Map your team in the PlannerPut this work in your plan, with the roles that do it.
Other areas of compliance, risk and privacy