How to prepare for a regulatory compliance audit effectively

Collect proofs as you work, assign owners, and rehearse the story. Keep controls mapped to risks, store logs and approvals in one place, and practice the walk through before the auditor arrives.

Why it matters
Preparation reduces findings and keeps teams calm.

How to

1. Map controls to risks and owners.

2. Store logs, reports, and approvals in a single evidence hub.

3. Keep a change log and an exceptions log.

4. Rehearse a one hour walk through with your team.

5. Fix gaps before the start date.

Definitions

• Evidence hub: the shared folder or tool for proofs.

• Exception: an approved temporary deviation from a rule.