Compliance Automation Services | HIPAA, SOC 2

Automated pipelines that pull control evidence from your infrastructure and SaaS tools on a scheduled basis -- daily, weekly, or triggered by configuration change events. AWS CloudTrail (API call logs, user activity, resource creation/deletion events), AWS Config (resource configuration snapshots, compliance rule evaluation results, configuration timeline), AWS IAM Access Analyzer, Azure Activity Log and Azure Policy compliance states, Google Cloud Audit Logs (Admin Activity, Data Access, System Event), Okta System Log via the Okta Events API, Azure AD sign-in and audit logs via Microsoft Graph API, Google Workspace Admin Reports API, GitHub Audit Log API (repository access, permission changes, deployment events), and third-party SaaS tools that expose audit log APIs (Salesforce Event Monitoring, Slack Audit Logs, Zendesk Audit Trail).

Evidence stored with structured metadata: control_id (mapped to the specific SOC 2 CC criterion, HIPAA safeguard, or PCI DSS requirement), source_system, collection_timestamp, collection_method (API pull, log export, configuration snapshot), evidence_type (screenshot, log export, configuration state, access roster), and audit_period (the time window the evidence covers). Evidence files stored in S3 with Object Lock (Compliance mode) for tamper-proof retention aligned to audit record retention requirements.

Gap detection monitors evidence collection jobs on every scheduled run: any evidence type that failed to collect or produced no results triggers a control_gap alert via Slack to the compliance owner, with the specific control, the expected evidence type, and the last successful collection date. This means the compliance team sees gaps in real time rather than discovering them during audit preparation when evidence for the prior 90 days is missing and there is no time to reconstruct it. Auditor portal: a read-only interface where auditors access the pre-populated evidence library, filter by control, date range, and evidence type, and download packaged evidence without requiring access to your production systems.

Event-driven control monitoring watches your environment in near-real-time and alerts when a control fails -- before the failure becomes an audit finding. Specific checks implemented:

IAM and access controls: AWS IAM policy changes that remove MFA requirements (CloudTrail PutUserPolicy/AttachRolePolicy events filtered for aws:MultiFactorAuthPresent condition removal); Okta MFA policy changes via Okta System Log policy.rule.update events; privilege escalation events (AWS AssumeRole calls to admin roles by non-admin users, Okta admin role grant events); stale access detection (users with active credentials who have not authenticated in 90+ days, identified via Okta Last Login or AWS CloudTrail last activity analysis).

Infrastructure configuration: AWS Config rules for s3-bucket-public-read-prohibited, rds-instance-public-access-check, ec2-instance-no-public-ip, kms-cmk-not-scheduled-for-deletion, backup-plan-exists, dynamodb-pitr-enabled. Azure Policy built-in definitions for equivalent controls. Configuration drift alerts: any resource state that deviates from the baseline configuration defined in your IaC generates an alert with the resource ID, the changed attribute, and who made the change (from the activity log). Backup monitoring: nightly check that all scheduled backup jobs completed within the expected window, with alert if any job missed or failed.

SOC 2 CC criteria mapping: each monitoring check is tagged to the specific Trust Services Criteria it evidences (CC6.1 access control, CC6.6 security configuration, CC7.2 system monitoring, CC8.1 change management). When a check fires, the alert includes the criteria it violates so the compliance owner immediately knows the audit impact of the failure without consulting the control matrix. HIPAA safeguard mapping: access controls (§164.312(a)), audit controls (§164.312(b)), integrity controls (§164.312(c)), and transmission security (§164.312(e)) mapped to corresponding monitoring checks. Alert routing by control owner: different controls have different owners (IT for infrastructure, HR for access reviews, security team for IAM), and alerts route to the appropriate owner via Slack DM or PagerDuty rather than a single compliance inbox.

A centralised policy library with version control, approval workflows, and employee acknowledgment tracking -- replacing the email chain approach where policy documents live in SharePoint, acknowledgments are tracked in a spreadsheet, and the last-acknowledged version is unknowable without manual reconciliation.

Policy lifecycle management: each policy has a structured metadata record (policy name, owner, effective date, review frequency, applicable frameworks, and the JIRA or Linear ticket where the policy change was approved). Policy content stored as versioned Markdown or HTML with a full change log -- diff between v1.2 and v1.3 is visible to reviewers and auditors. Approval workflow: a policy update moves through a configurable review chain (author → policy owner → CISO/legal for high-risk policies) with email and Slack notifications at each stage and a 5-day default review SLA. Published policies are immediately versioned in the audit evidence store with the approval timestamp and approver identity.

Employee acknowledgment workflow: when a policy is published or updated, the system identifies affected employees by role or department (configurable per policy), sends an acknowledgment request via email with a direct link to the policy text, and tracks click-through and acknowledgment timestamp per employee. Reminder emails sent at 3-day and 7-day intervals for unacknowledged employees. Escalation to the employee's manager at 14 days. Completion dashboard shows real-time acknowledgment percentage by department so managers can see which teams have incomplete acknowledgments before the compliance deadline.

Auditor-ready evidence: for any audit period, a report downloads showing every policy, its current version, effective date, and the acknowledgment completion rate across the organisation -- with individual employee records showing which version each employee acknowledged and when. The report includes any gap periods where a policy was not acknowledged at 100% with the remediation action taken (escalations sent, manager notified). For new hires, an onboarding acknowledgment queue automatically assigns all current applicable policies with a 30-day completion deadline and tracks completion as part of the onboarding checklist.

Structured risk assessment workflows for new vendors, new systems, changes to existing systems, and periodic re-assessments of the existing risk portfolio. Vendor risk assessment: when procurement identifies a new vendor, the system creates a vendor assessment record and distributes a security questionnaire (CAIQ Lite for cloud vendors, custom questionnaire for non-cloud vendors, or the SIG Lite for comprehensive vendor assessments) via automated email with a direct link to the form. Questionnaire responses feed a risk scoring model: inherent risk calculated from data access scope (does this vendor access PII, PHI, payment data, or no sensitive data?), deployment model (SaaS vs. on-premise vs. API), and security certifications (SOC 2 Type II, ISO 27001, PCI DSS) present or absent. Residual risk calculated after factoring in compensating controls (DPA signed, access limited to read-only, vendor access over VPN only).

Risk register automatically populated from completed assessments: each vendor and system has a register entry with inherent risk rating (High/Medium/Low), residual risk rating, risk owner, assessment date, and next review date. High-risk vendors reviewed annually; medium-risk every 18 months; low-risk every 2 years, with review reminders sent 30 days before the review date. Risk treatment decisions (accept/mitigate/transfer/avoid) documented per risk with the rationale and any compensating controls applied.

NIST SP 800-30 risk assessment methodology used as the framework for system risk assessments: threat sources, threat events, vulnerability identification, likelihood and impact scoring, and risk determination. Periodic internal risk assessment: quarterly automated scan of the risk register surfaces any risks that have not been reviewed on schedule, any vendors who have revoked their security certifications, and any systems where the risk profile has changed (e.g., a system now processing payment data that was previously PII-only). Audit evidence: every risk assessment produces a documented record with the assessment methodology, the responses received, the risk scores calculated, the risk treatment decision, and the reviewer's identity and timestamp.

Automated generation of audit evidence packages directly from the evidence library -- replacing the 2-week pre-audit scramble of exporting logs, taking screenshots, and manually populating control matrices.

SOC 2 Type II report preparation: the AICPA TSC control matrix (Common Criteria, Availability, Confidentiality, Processing Integrity, Privacy -- whichever criteria your certification covers) is pre-populated with evidence references for each control point. CC6.1 (Logical and physical access controls) populates with access roster exports, MFA configuration screenshots, access review completion records, and privileged access monitoring logs -- all pulled from the evidence library with source metadata and collection timestamp. The populated control matrix includes a testing notes field per control where the evidence summary is auto-generated: "Access roster as of [date] shows 14 users with admin access. MFA is enforced for all users per Okta policy screenshot dated [date]. Quarterly access review completed on [date] with 100% reviewer completion." This is the format auditors use; pre-populating it reduces the auditor's time and the compliance team's fieldwork.

HIPAA Security Rule documentation: implementation specification evidence for each required and addressable specification (§164.308 administrative, §164.310 physical, §164.312 technical, §164.316 policies and procedures) with the corresponding control evidence and implementation notes. PCI DSS requirement-by-requirement compliance status: each of the 12 requirements broken into testable controls with current pass/fail status from the continuous monitoring checks. ISO 27001 Annex A control evidence package for annual surveillance or certification audits.

Customer security questionnaire automation: the CAIQ (Cloud Security Alliance questionnaire), VSAQ (Vendor Security Assessment Questionnaire), and custom security questionnaires from enterprise prospects are filled from the evidence library and standard response templates. A question about MFA enforcement auto-fills with the current Okta policy screenshot and effective date; a question about backup procedures auto-fills with the backup policy document and last test results. Responses reviewed and approved by the security team before sending, but the drafting work is done automatically.

A real-time compliance posture dashboard giving your CTO, CISO, and compliance team a single view of the program status without compiling data from multiple sources.

Framework-level view: each active compliance framework (SOC 2, HIPAA, PCI DSS, ISO 27001) shown as a card with a RAG status (Green = all controls passing with evidence collected; Amber = some controls with gaps or overdue reviews; Red = control failures requiring immediate action) and a count of passing/failing/not-assessed controls. Drill-down from framework to control family to individual control shows the specific evidence in the library, the last collection date, and the control failure detail if applicable.

Audit period tracker: for frameworks with a defined audit period (SOC 2 Type II requires continuous evidence for the observation period, typically 6 or 12 months), a calendar view shows which days have complete evidence coverage and which have gaps. A 12-month SOC 2 preparation view showing evidence completeness by month lets the compliance team see whether they're on track for the audit rather than discovering gaps 4 weeks before the auditor arrives.

Operational KPIs tracked in real-time: percentage of controls currently passing vs. failing; evidence collection completeness for the current period (total evidence items collected vs. expected); policy acknowledgment completion rate by department; open control failures by age (how long each failure has been open and unresolved); upcoming review deadlines in the next 30 days (access reviews, vendor reassessments, policy reviews, penetration test schedule). Risk register summary: count of High/Medium/Low risks with trend vs. prior quarter -- are new risks being added faster than existing risks are being resolved?

Executive view: a simplified one-page summary with a single compliance health score (weighted from control pass rate, evidence completeness, and policy acknowledgment rate), a count of open action items, the date of the last successful evidence collection run, and the date of the next scheduled audit. Shared with the board or executive team as a quarterly compliance status update without requiring the technical detail of the full dashboard.