# Build a compliance checklist and control map

Maps obligations to controls, gaps, owners, and remediation.

- Topic: Legal & Compliance
- Framework: RCTFVV
- Level: Advanced
- Tags: Legal, Fill-in Template
- Source: https://www.thinkwithprompt.com/prompts/build-a-compliance-checklist-and-control-map

## Prompt

```text
Role: Act as a compliance officer building a compliance checklist and control map.

Context: Regulation / standard / internal policy in scope: [SOURCE]. Provided text or requirement list: [REQUIREMENTS]. Our processes and existing controls: [EXISTING_CONTROLS]. Business units affected: [BUSINESS_UNITS]. How compliance is currently evidenced and monitored: [CURRENT_MONITORING].

Task: Produce: a requirement-by-requirement checklist (requirement, reference, what 'done' looks like); the control(s) that address each (existing or 'gap - control needed'); the evidence that demonstrates it; the owner; and a suggested test/attestation frequency. Summarise the top gaps.

Format: A table: Requirement | Reference | Done looks like | Control | Evidence | Owner | Test frequency. Plus a gaps summary.

Verification: Tie every requirement to the provided source text; mark requirements with no current control clearly as gaps rather than assuming coverage.

Validation: Walk the checklist with a process owner from one business unit: can they actually produce the evidence listed? Adjust anything that is not practically evidenceable.
```

## What to fill in

- SOURCE
- REQUIREMENTS
- EXISTING_CONTROLS
- BUSINESS_UNITS
- CURRENT_MONITORING

Free to copy and use. From ThinkWithPrompt (https://www.thinkwithprompt.com/), a library of 2,663 curated AI prompts.