These cookies are required for the website to function properly. They ensure security, enable basic features like page navigation, and store user session data. You cannot disable these cookies.
- Compliance Management
- Who it's for
- Central control review
Central control review
A central compliance function often coordinates testing for controls owned by operating teams. The assessment sets the review period and scope. Tests capture sample size, exception count, result and evidence. Findings, corrective actions and retests then separate the observation, the fix and the independent check. That separation helps the Compliance Lead explain the outcome without flattening the work into a single status.
How Compliance Management is set up for you
Planned work
State the assessment subject, period, owner and planned tests before testing begins.
Observed result
Record the test date, result and evidence reference for each control check.
Owned response
Assign corrective work to a person with a due date and completion evidence.
Independent check
Have a reviewer record a separate retest result against the finding.
A central compliance function often coordinates testing for controls owned by operating teams. The assessment sets the review period and scope. Tests capture sample size, exception count, result and evidence. Findings, corrective actions and retests then separate the observation, the fix and the independent check. That separation helps the Compliance Lead explain the outcome without flattening the work into a single status.
Begin with one assessment that covers a known active control. Ask its owner what the safeguard is expected to do and where the sample evidence will come from. The Tester records one result. If it fails, create a finding that states the observed exception in words the Remediation Owner can act on. Assign a corrective action with a realistic due date and inspect the submitted evidence.
The Independent Reviewer should check the changed operation directly and record a Pass, Fail or Inconclusive result. A failed or inconclusive retest keeps the question open for the Compliance Lead. A passing result supports verification, but the team should still check the assessment's other findings, obligation decisions and operation receipts before closure.
Use Operations Overview to spot failed tests and review work for the authorized scope. During the first cycle, compare that overview with the underlying records so the team knows what each number represents and who is responsible for the next action.
Features to start with
Roles on the team
- Compliance Lead
- Owns assessment scope, obligation review routing and the operating record for the compliance program.
- Control Owner
- Maintains a control and the risk it addresses, then responds to test exceptions.
- Tester
- Records control tests and identifies findings for assessment review.
- Remediation Owner
- Plans and completes corrective work assigned to a finding.
- Independent Reviewer
- Decides submitted obligation reviews and records independent follow-up tests.
Set up Compliance Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.