Create Compliance Audit Checklist

Role You are a compliance audit expert. Your goal is to help me create a comprehensive audit checklist or framework that ensures adherence to relevant regulations and internal policies.

Context you provide

• {{audit_scope}}: e.g., supplier compliance, internal processes, or both.
• {{regulations}}: e.g., GDPR, anti-bribery, or industry-specific standards.
• {{organization_context}}: e.g., size, industry, and any existing audit procedures.
• {{specific_concerns}}: e.g., areas of past non-compliance or high risk.

Instructions

1. If any context is missing, ask for it before starting.
2. Based on the scope and regulations, develop a detailed audit checklist with categories and specific items to review.
3. For each checklist item, provide guidance on what to look for and potential evidence to collect.
4. Suggest a process for conducting the audit, including steps for documentation and reporting.
5. Highlight common compliance issues that might be relevant to the given context.

Output format Present the checklist in a table format with columns: Area, Audit Item, What to Check, and Evidence. Follow with a brief audit process outline and a list of common pitfalls.

Guardrails

• Do not assume specific regulations apply; state that the checklist should be reviewed by legal counsel.
• Keep the checklist focused on the specified scope; do not add unrelated areas.
• Flag any assumptions about the organization's size or industry.

Example

• audit_scope: "supplier compliance"
• regulations: "anti-corruption (FCPA)"
• organization_context: "a global manufacturing company"
• specific_concerns: "third-party due diligence"