Regulatory Compliance Services Playbook 2026
Change Management
Business Change Office
Case Studies
Regulatory compliance services help teams translate obligations into controls, evidence, and a repeatable operating rhythm.
This playbook shows what to scope, what to build, what to measure, and how to stay audit ready without slowing the business.
Quick Answer
Regulatory compliance services cover five core workstreams. Scope the obligations, assess risk, design controls, collect evidence, and prepare for audits.
The goal is not paperwork. The goal is a system that produces reliable proof of compliance with minimal manual effort.
External references:
AuditBoard regulatory compliance guide.
ISO 37301 overview.
IBM compliance audit definition.
What compliance services include
A useful compliance service offering is practical and measurable. It gives you a clear scope, mapped obligations, controls tied to risk, and an evidence plan.
It also includes a cadence for monitoring and a remediation path when issues appear.
| Service area | What it delivers | Typical artifacts |
|---|---|---|
| Obligation mapping | What rules apply and where they show up in the business | Regulatory inventory, obligation map, ownership map |
| Risk assessment | Where exposure is highest and what to fix first | Risk register, likelihood impact scoring, prioritized plan |
| Controls design | Controls that prevent, detect, and correct issues | Control library, control owners, control frequency |
| Testing and evidence | Proof that controls are operating as designed | Test plans, sampling rules, evidence checklist |
| Audit readiness | Fewer surprises in internal or external audits | PBC list support, audit response workflow, remediation log |
Internal reading: for adoption of new controls and routines, use Change Management.
For multi initiative governance, use Business Change Office.
Scope and regulatory inventory
Start by scoping the compliance domain in plain language. Define what the service covers, what it excludes, and what proof is required.
Then build an obligation inventory that names the rule, the owner, the evidence, and the control that satisfies it.
Scope checklist
- Business activities in scope and out of scope.
- Regulators and frameworks that apply.
- Systems that store sensitive data or drive regulated decisions.
- Evidence expectations, what an auditor will ask for.
- Control ownership and testing frequency.
External reference: ISO 37301 describes a compliance management system standard and what a system should support.
See ISO 37301 overview.
Compliance risk assessment method
A compliance risk assessment identifies where you may not meet obligations and what the impact would be.
The output should be a prioritized set of fixes, not a long list of concerns.
Simple method
- List obligations and where they apply in the workflow.
- Identify failure modes, what could go wrong and why.
- Score likelihood and impact.
- Map the control that prevents or detects the issue.
- Assign an owner and a due date for gaps.
What good looks like
- Top ten risks are clear and owned.
- Controls have names, owners, and a frequency.
- Evidence is easy to collect and tied to controls.
External reference: see a compliance risk assessment overview at
ZenGRC.
Controls, testing, evidence
Controls should be designed so the work produces evidence as a byproduct.
Use three control types. Preventive controls stop errors. Detective controls find issues. Corrective controls drive fixes and recurrence prevention.
| Control type | Purpose | Example evidence | Common pitfall |
|---|---|---|---|
| Preventive | Stop noncompliant actions | Access rules, approvals, validation checks | Too many approvals that slow work |
| Detective | Identify issues quickly | Monitoring reports, reconciliations, alerts | Alerts without triage and ownership |
| Corrective | Fix the issue and reduce recurrence | Remediation tickets, root cause notes, retest results | Fixes that are not tested or sustained |
External reference: for privacy compliance programs, the NIST Privacy Framework is a voluntary tool to manage privacy risk.
See NIST Privacy Framework.
Audit readiness and remediation
Audit readiness is the ability to respond with evidence fast and consistently.
Set a standard PBC package per obligation so teams do not recreate work each audit cycle.
Audit readiness checklist
- PBC package list per obligation, with owners.
- Sampling rules and test steps written once.
- Evidence locations documented and access approved.
- Issue log with root cause, fixes, and retest dates.
- Weekly triage for new issues and overdue actions.
External reference: an overview of what a compliance audit is can be found at
IBM.
Internal reading: if control changes require behavior change, use Change Management.
If you need a weekly operating review for control adoption, use Change Management Control Room 2026.
30 day plan
This plan gets you from scattered obligations to a stable baseline.
Adjust for your domain, but keep the order. Scope first. Risk next. Controls and evidence last.
| Week | Focus | Deliverables | Decision |
|---|---|---|---|
| Week 1 | Scope and inventory | Regulatory inventory, ownership map, evidence expectations | Confirm in scope areas and owners |
| Week 2 | Risk assessment | Risk register with scoring, top ten exposure list | Approve priorities and timeline |
| Week 3 | Controls and testing | Control library, test plan, sampling rules | Approve controls to implement first |
| Week 4 | Evidence and audit readiness | PBC packages, evidence locations, remediation workflow | Set cadence and report format |
Copy templates
Regulatory inventory
Rule or framework: Scope area: Owner: Business process: System: Obligation statement: Control name: Control owner: Control frequency: Evidence: Testing method: Notes:
Compliance risk assessment
Obligation: Failure mode: Cause: Impact: Likelihood: Current controls: Control gap: Fix action: Owner: Due date: Evidence to prove fix:
Control definition
Control name: Control type: Obligation mapped: Purpose: Owner: Frequency: Step by step procedure: Evidence produced: Tool or system: Exception handling: How it is tested:
Audit PBC package
Obligation: Audit period: Evidence list: 1 2 3 Owner: Evidence location: Access approved: Sampling rule: Notes for auditor:
Internal reading: see Change Readiness Scorecard 2026 to set go live gates for new compliance controls.
FAQ
What do regulatory compliance services include
They usually include obligation mapping, risk assessment, controls design, evidence and testing, audit support, and remediation tracking.
External reference: AuditBoard regulatory compliance guide.
What is a compliance risk assessment
It is a structured review of where obligations may not be met, with scoring for likelihood and impact, and a prioritized set of controls and fixes.
External reference: ZenGRC risk assessment overview.
What is a compliance audit
A compliance audit is an impartial review to verify adherence to internal and external policies and standards.
External reference: IBM compliance audit overview.
Which frameworks can guide a compliance management system
ISO 37301 is a compliance management system standard. NIST Privacy Framework can guide privacy risk management where privacy obligations apply.
External references: ISO 37301 and
NIST Privacy Framework.
