Practice 04 — Compliance & Governance
Documented. Applied. Maintained. Enforced.
Policies that exist only on paper fail their first examination. We build compliance programs measured against the four words that matter — and the evidence file that proves them.
The Practice
The examiner doesn't grade intentions.
Whether the framework is HIPAA, PCI DSS, FINRA and SEC cybersecurity requirements, GDPR, or the FCPA — the standard is the same: show your work. We assess exposure, close the gaps, write the policies, and build the documentation trail your regulator, insurer, and board expect to find.
When the exam letter arrives, the right answer is a folder that already exists.
Capabilities
- Regulatory exposure assessments — where your obligations actually sit, mapped and prioritized
- Privacy compliance — GDPR, CCPA, New York SHIELD, and regional regimes; subject and regional privacy analysis
- Data governance — PII, PHI, and PCI: where sensitive data lives, who touches it, and the proof of both
- Anti-corruption programs — FCPA, UK Bribery Act, and OECD frameworks; program design and due diligence
- Security compliance — industry-specific cybersecurity regulation, mapped to your controls
- Vendor verification & third-party risk — due diligence, questionnaires, and monitoring on every party touching your data
- Policy development — documented, applied, maintained, and enforced — with the training to make it real
- Governance consulting — board-level structures for oversight of technology and data risk
The Compliance Thread
Every practice ends in evidence.
Cybersecurity produces control documentation. Investigations produce defensible findings. AI enablement produces governance records. Compliance is not a separate deliverable at this firm — it is the format every deliverable arrives in.
Measure your posture against the framework that governs you.
The Assessment includes a compliance gap review with a closure path sequenced by exposure.
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