Managing your compliance using a piecemeal approach can create silos, make your existing workflows inefficient, and prevent you from getting a complete view of your compliance program. A compliance management system makes it easy to attain or maintain compliance. These systems offer a centralized place to track progress and can integrate into the tools and workflows you and your cross-functional partners use every day.
In this article, we’ll explain what compliance management systems are and how to use them to uplevel your compliance program.
What is a compliance management system?
A compliance management system is an orchestrated tool that you use to maintain and monitor your organization’s compliance with security and privacy frameworks you’ve committed to — such as SOC 2, ISO 27001, GDPR, and HIPAA. Your compliance management system centralizes your documentation, tracks your progress against each framework, tests your systems to check for missing controls, and helps you manage tasks and timelines for audit.
Compliance management systems provide a single source of truth for managing your compliance program, giving you a holistic view into your organization’s risks, controls, gaps, and progress. They can integrate into the existing tools and workflows your team is already using, which helps streamline the execution of important compliance tasks required for audit or to mitigate compliance risks.
The term compliance management system can refer to the software tool used as a centralized hub for your compliance program or can refer to your broader compliance management program.
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Why compliance management matters
Given how important it is to protect your organization, its data, and the data of your customers while upholding customers’ privacy rights, compliance management is essential for nearly every business today. Depending on the framework, falling out of compliance (or failing to get compliant at all) could result in fines, loss of business, or a data breach.
Your organization needs a scalable way to monitor its compliance and to track progress when preparing for an audit. Manually checking for each control can be complicated and inefficient — especially if you have two or more frameworks you’re working toward. And each year there are new frameworks being created or adjustments to existing frameworks, which can be hard to implement and adhere to if you’re managing your compliance in a spreadsheet.
Compliance management systems help you protect your business against threats, prevent the potential consequences that come with non-compliance, and provide a scalable way for your organization to adapt to changes in the compliance landscape, making continuous compliance possible.
Components of a compliance management system
While each organization's compliance management system will be unique to the needs of the business and the frameworks they’ve chosen, most compliance management systems include these components:
- Integrations that connect your compliance program to the tools you’re already using.
- A centralized repository for your security and compliance documentation.
- Capabilities that allow you to map common controls and criteria for different frameworks.
- Templates for common necessary policies, procedures, and protocols.
- Alerts and automations that enable you to flow tasks from your compliance management system into your existing workflows.
- Ability to scan and continuously monitor your infrastructure to identify compliance gaps when they arise and to find new ways to improve your compliance.
How to create a compliance program
Whether you’re just implementing a compliance program or are improving your existing program, follow these steps to create a mature and efficient compliance program:
1. Identify your frameworks
There are numerous security frameworks available and it’s important to understand which ones are required for your organization by law and which ones can help your business grow. Identify the best frameworks for your organization by considering the following:
- Identify frameworks required in the markets you serve — like GDPR that protects the privacy rights of EU residents and CCPA that does the same for California residents.
- Identify frameworks required for your industry in your region — like HIPAA for the medical industry.
- Identify frameworks required or expected based on the functions you perform — like PCI DSS if you handle consumer payment information.
- Identify frameworks relevant to your industry that your customers and prospects may expect you to adhere to — like SOC 2 or ISO 27001 in SaaS and other industries.
2. Choose a compliance management system
Your compliance management system is the cornerstone of your compliance program. Explore your options and invest in a system that offers features like automation, integrations with the tools you already use, common mapping criteria for overlapping frameworks, and continuous control monitoring.
3. Create compliance policies
Depending on the frameworks applicable to your organization, there will be certain policies you’ll need to have in place. Some examples include policies for handling consumer data, access management, physical security, and so on. Ideally, your compliance management system will offer templates so you can easily create these policies and upload them to the system’s central repository for security documents.
4. Build out workflows
Next, construct workflows that make compliance an ongoing part of your operations. Plug in the tool to your existing workflows, then create automations and alerts that allow you to easily flow compliance tasks into your day-to-day workflows.
5. Determine current state
With your upgraded processes and workflows, it’s time to put your compliance management system to work. Use the tool to scan for risks and compliance gaps based on the frameworks you adhere to and take steps to resolve any issues that are identified.
6. Set reminders for routine tasks
Make it easy to keep up with your compliance by using automated reminders. Set up reminders for audit-related tasks, routine scans, vendor reviews, and other tasks that have repetitive schedules.
Tips for optimizing your compliance management plan
The more strategic and well-organized your compliance management plan is, the better you’ll be able to protect your organization’s and your customer’s data, avoid fines for noncompliance, and retain customers by demonstrating trust. Follow these tips to enhance and optimize your compliance management plan:
- Reduce duplicate work from overlapping controls: Many frameworks require similar controls and policies. If you’re looking to audit or maintain multiple compliance frameworks, avoid duplicating your work by using a compliance tool that brings all your frameworks together and recognizes these overlaps, saving you from having to check for these controls twice.
- Check for integrations: When selecting a compliance management system, choose one that can integrate with the tools you already use, especially your ticketing systems and vulnerability scanners. This makes your compliance program more efficient and takes advantage of the centralization that a compliance management system can offer.
- Set up alerts and notifications: Use your existing communication tools like Slack to set up notifications about your compliance tasks and track progress on them, making compliance an integrated part of your daily workflows rather than a point-in-time project.
It’s important to choose the right tools to help you manage your compliance program. These tools should make managing your program easier and more sustainable as your business grows.
Vanta’s trust management platform allows you to streamline your compliance program as you scale your business. With Vanta, you can automate your compliance across multiple frameworks, centralize your risk management, and streamline your security reviews. Schedule a demo with our team to see if adding trust management to your compliance program is right for you.
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Compliance
What is a compliance management system and how to implement it
Compliance
Managing your compliance using a piecemeal approach can create silos, make your existing workflows inefficient, and prevent you from getting a complete view of your compliance program. A compliance management system makes it easy to attain or maintain compliance. These systems offer a centralized place to track progress and can integrate into the tools and workflows you and your cross-functional partners use every day.
In this article, we’ll explain what compliance management systems are and how to use them to uplevel your compliance program.
What is a compliance management system?
A compliance management system is an orchestrated tool that you use to maintain and monitor your organization’s compliance with security and privacy frameworks you’ve committed to — such as SOC 2, ISO 27001, GDPR, and HIPAA. Your compliance management system centralizes your documentation, tracks your progress against each framework, tests your systems to check for missing controls, and helps you manage tasks and timelines for audit.
Compliance management systems provide a single source of truth for managing your compliance program, giving you a holistic view into your organization’s risks, controls, gaps, and progress. They can integrate into the existing tools and workflows your team is already using, which helps streamline the execution of important compliance tasks required for audit or to mitigate compliance risks.
The term compliance management system can refer to the software tool used as a centralized hub for your compliance program or can refer to your broader compliance management program.
{{cta_withimage1}}
Why compliance management matters
Given how important it is to protect your organization, its data, and the data of your customers while upholding customers’ privacy rights, compliance management is essential for nearly every business today. Depending on the framework, falling out of compliance (or failing to get compliant at all) could result in fines, loss of business, or a data breach.
Your organization needs a scalable way to monitor its compliance and to track progress when preparing for an audit. Manually checking for each control can be complicated and inefficient — especially if you have two or more frameworks you’re working toward. And each year there are new frameworks being created or adjustments to existing frameworks, which can be hard to implement and adhere to if you’re managing your compliance in a spreadsheet.
Compliance management systems help you protect your business against threats, prevent the potential consequences that come with non-compliance, and provide a scalable way for your organization to adapt to changes in the compliance landscape, making continuous compliance possible.
Components of a compliance management system
While each organization's compliance management system will be unique to the needs of the business and the frameworks they’ve chosen, most compliance management systems include these components:
- Integrations that connect your compliance program to the tools you’re already using.
- A centralized repository for your security and compliance documentation.
- Capabilities that allow you to map common controls and criteria for different frameworks.
- Templates for common necessary policies, procedures, and protocols.
- Alerts and automations that enable you to flow tasks from your compliance management system into your existing workflows.
- Ability to scan and continuously monitor your infrastructure to identify compliance gaps when they arise and to find new ways to improve your compliance.
How to create a compliance program
Whether you’re just implementing a compliance program or are improving your existing program, follow these steps to create a mature and efficient compliance program:
1. Identify your frameworks
There are numerous security frameworks available and it’s important to understand which ones are required for your organization by law and which ones can help your business grow. Identify the best frameworks for your organization by considering the following:
- Identify frameworks required in the markets you serve — like GDPR that protects the privacy rights of EU residents and CCPA that does the same for California residents.
- Identify frameworks required for your industry in your region — like HIPAA for the medical industry.
- Identify frameworks required or expected based on the functions you perform — like PCI DSS if you handle consumer payment information.
- Identify frameworks relevant to your industry that your customers and prospects may expect you to adhere to — like SOC 2 or ISO 27001 in SaaS and other industries.
2. Choose a compliance management system
Your compliance management system is the cornerstone of your compliance program. Explore your options and invest in a system that offers features like automation, integrations with the tools you already use, common mapping criteria for overlapping frameworks, and continuous control monitoring.
3. Create compliance policies
Depending on the frameworks applicable to your organization, there will be certain policies you’ll need to have in place. Some examples include policies for handling consumer data, access management, physical security, and so on. Ideally, your compliance management system will offer templates so you can easily create these policies and upload them to the system’s central repository for security documents.
4. Build out workflows
Next, construct workflows that make compliance an ongoing part of your operations. Plug in the tool to your existing workflows, then create automations and alerts that allow you to easily flow compliance tasks into your day-to-day workflows.
5. Determine current state
With your upgraded processes and workflows, it’s time to put your compliance management system to work. Use the tool to scan for risks and compliance gaps based on the frameworks you adhere to and take steps to resolve any issues that are identified.
6. Set reminders for routine tasks
Make it easy to keep up with your compliance by using automated reminders. Set up reminders for audit-related tasks, routine scans, vendor reviews, and other tasks that have repetitive schedules.
Tips for optimizing your compliance management plan
The more strategic and well-organized your compliance management plan is, the better you’ll be able to protect your organization’s and your customer’s data, avoid fines for noncompliance, and retain customers by demonstrating trust. Follow these tips to enhance and optimize your compliance management plan:
- Reduce duplicate work from overlapping controls: Many frameworks require similar controls and policies. If you’re looking to audit or maintain multiple compliance frameworks, avoid duplicating your work by using a compliance tool that brings all your frameworks together and recognizes these overlaps, saving you from having to check for these controls twice.
- Check for integrations: When selecting a compliance management system, choose one that can integrate with the tools you already use, especially your ticketing systems and vulnerability scanners. This makes your compliance program more efficient and takes advantage of the centralization that a compliance management system can offer.
- Set up alerts and notifications: Use your existing communication tools like Slack to set up notifications about your compliance tasks and track progress on them, making compliance an integrated part of your daily workflows rather than a point-in-time project.
It’s important to choose the right tools to help you manage your compliance program. These tools should make managing your program easier and more sustainable as your business grows.
Vanta’s trust management platform allows you to streamline your compliance program as you scale your business. With Vanta, you can automate your compliance across multiple frameworks, centralize your risk management, and streamline your security reviews. Schedule a demo with our team to see if adding trust management to your compliance program is right for you.
{{cta_testimonial2}}
Scaling your compliance doesn't have to SOC 2 much.
Learn how to add new frameworks to your compliance program without adding to your workload.
Scaling your compliance doesn't have to SOC 2 much.
Learn how to add new frameworks to your compliance program without adding to your workload.
Scaling your compliance doesn't have to SOC 2 much.
Learn how to add new frameworks to your compliance program without adding to your workload.
Vanta gives us broad visibility across our business. We are immediately alerted to any critical vulnerabilities so we can deal with them straight away. It’s a single pane of glass for us.”
Nathan Miller, Head of Information Security & Compliance | Dovetail
| Role: | GRC responsibilities: |
|---|---|
| Board of directors | Central to the overarching GRC strategy, this group sets the direction for the compliance strategy. They determine which standards and regulations are necessary for compliance and align the GRC strategy with business objectives. |
| Chief financial officer | Primary responsibility for the success of the GRC program and for reporting results to the board. |
| Operations managers from relevant departments | This group owns processes. They are responsible for the success and direction of risk management and compliance within their departments. |
| Representatives from relevant departments | These are the activity owners. These team members are responsible for carrying out specific compliance and risk management tasks within their departments and for integrating these tasks into their workflows. |
| Contract managers from relevant department | These team members are responsible for managing interactions with vendors and other third parties in their department to ensure all risk management and compliance measures are being taken. |
| Chief information security officer (CISO) | Defines the organization’s information security policy, designs risk and vulnerability assessments, and develops information security policies. |
| Data protection officer (DPO) or legal counsel | Develops goals for data privacy based on legal regulations and other compliance needs, designs and implements privacy policies and practices, and assesses these practices for effectiveness. |
| GRC lead | Responsible for overseeing the execution of the GRC program in collaboration with the executive team as well as maintaining the organization’s library of security controls. |
| Cybersecurity analyst(s) | Implements and monitors cybersecurity measures that are in line with the GRC program and business objectives. |
| Compliance analyst(s) | Monitors the organization’s compliance with all regulations and standards necessary, identifies any compliance gaps, and works to mitigate them. |
| Risk analyst(s) | Carries out the risk management program for the organization and serves as a resource for risk management across various departments, including identifying, mitigating, and monitoring risks. |
| IT security specialist(s) | Implements security controls within the IT system in coordination with the cybersecurity analyst(s). |
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