Compliance Reviews

Not just “are we compliant?”—but can we show it, defend it, and improve it under scrutiny.

Proof, not just posture

We examine the full chain: policy, control, evidence, and behavior.

A policy library and a training log are no longer enough. Regulators, auditors, and boards want to see how controls function in real conditions, and whether issues are surfaced early or buried.

Our reviews follow your obligations, but they are written for the moments that matter: an inquiry, a breach, an internal investigation, or a difficult board session. We highlight what is working, what is brittle, and where ownership is unclear.

What we look at

Policy and standard coverage vs. your obligations
Control design and effectiveness in practice
Escalation paths, case handling, and reporting
Evidence trails and retention practices
Board and leadership visibility into issues

Interactive

Quick compliance maturity snapshot.

Select where you believe your program sits today. We’ll outline what a review typically focuses on at that level.

Step 1

Choose current maturity

Internal note (optional)

Step 2

What a review would emphasize

Program maturity Not yet set

Select a maturity level on the left to see how we would typically frame a review.

Save this snapshot

Discuss a compliance review

Scope examples

How a structured compliance review might be scoped.

Every organization is different, but most reviews pull from the following components. Expand any area to see the types of questions we ask.

Which obligations (laws, regulations, frameworks) do you rely on these policies to satisfy?
How often are policies reviewed, and by whom?
Is training aligned to real decisions employees make, or only to policy language?
How do you evidence that the right people received and understood critical policies?

For key risk areas, can you trace from policy to specific controls and owners?
How are issues reported, triaged, and investigated in practice?
What patterns exist in incident data, and how often are lessons turned into changes?
Are there known workarounds that leadership has accepted, and are those documented?

Can you quickly produce evidence of control operation for a specific period?
How are exceptions and waivers documented, approved, and revisited?
What is the cadence and quality of reporting up to the board or its committees?
Which parts of your program would be hardest to explain to an external regulator or investigator?