Gap analyses
What is missing, what is partial, and what is already satisfied, with the evidence checked rather than assumed.
Service line 04 · Compliance and risk management
The next exam should be a review of records that already exist.
For FFIEC and HIPAA regulated organizations preparing for exams, audits, and customer diligence. The work covers requirement to policy to control mapping, exam readiness, risk registers, third party risk, and business continuity planning.
Who this is for
Who needs help preparing for regulatory exams and customer diligence?
Banks, credit unions, and healthcare organizations answer to examiners on a cycle. Businesses selling into regulated buyers answer to customer diligence questionnaires instead. Both answer the same question: can you produce, on request, the record that shows a control operates.
Engagements map controls to the frameworks the organization faces, including FFIEC, HIPAA, PCI DSS, SOC 2, HITRUST, CSA STAR, NIST 800-53, and ISO 27001.
What the work includes
What does compliance and exam readiness work include?
- Requirement to policy to control mapping
- Gap analysis against the framework you actually face
- Exam and audit readiness preparation
- Risk register design and maintenance
- Third party and vendor risk review
- Business continuity and recovery planning
Deliverables
What do you receive from a compliance and risk engagement?
Control mappings
A single map from requirement to policy to control to the record that proves it.
Risk registers
Risks with owners, ratings, treatment decisions, and review dates, kept current instead of rebuilt annually.
Board reporting
Written updates that a board can act on and an examiner can read.
Evidence collection workflows
Where each record lives, how often it appears, and who reviews it.
Fixed-scope starting point
What is an Evidence Readiness Baseline?
A practitioner-led review of one defined security or compliance boundary. It tests whether an agreed sample of controls has named owners and current records showing that the controls operate.
Define one boundary
Choose one examiner request, customer diligence cycle, business process, system, or security-program area. Record what is in scope, what is excluded, and who owns it.
Check current records
Trace the agreed sample from the requirement or question to the policy, control, owner, and operating record. Separate verified evidence from missing, stale, and unassessed items.
Order the next actions
Receive a prioritized action list, with decision owners where the organization names them, then choose whether to fix the gaps internally or continue into implementation work.
Deliverables include a scope and assumptions record, evidence inventory, findings list, prioritized action list, and a closeout session with the accountable owner.
There is no maturity score and no claim that the work is an audit, assessment opinion, or certification. The baseline reports what the agreed evidence supports, what is missing, and what was not assessed.
How it supports audit readiness
How do you stay exam-ready between exams?
The purpose of this service line is simple. The next exam should be a review of records that already exist. Readiness work that only happens in the weeks before an exam produces a reconstruction, and a reconstruction is what findings are written about.
The full evidence chain is on audit-ready IT.
What this is not
What does the compliance and risk service not cover?
- An audit, an assessment opinion, or a certification. Tectori prepares you for the assessor and does not replace one.
- Legal advice. Regulatory interpretation that carries legal risk belongs with your counsel.
- A template package with no mapping behind it.
Related services
Cybersecurity, Fractional CIO and CISO leadership, IT operations
