Nay & Joe Risk and Tech
Nay & JoeRisk and Tech Consulting
Universal Industry Compliance Tool

Regulatory Compliance Readiness Checklist

Audit your organization\'s compliance readiness across Corporate Governance (ISO 31000), Data Privacy (NDPA/GDPR), Cybersecurity (ISO 27001), and Operational Controls.

Enterprise Audit Controls

Applicable to Commercial, Financial, Energy, Healthcare, and Public Sectors

0 / 12 Active
[Enterprise Governance & ERM]Board-approved Enterprise Risk Appetite Statement & Risk Policy in place

Essential for defining operational risk boundaries across all industries.

[Enterprise Governance & ERM]Centralized Enterprise Risk Register with automated risk scoring

Replaces static spreadsheets with real-time risk visibility.

[Enterprise Governance & ERM]Key Risk Indicators (KRIs) monitored with automated threshold alerts

Provides early signals before operational loss incidents occur.

[Information Security & Cyber]Mandatory Multi-Factor Authentication (MFA) on all corporate portals & email

Universal control preventing 99.9% of credential theft breaches.

[Information Security & Cyber]Tested Immutable Air-Gapped Backups for rapid ransomware recovery

Guarantees operational business continuity without paying ransoms.

[Information Security & Cyber]Tested Incident Response (IR) plan with 72-hr breach notification protocol

Mandatory under global regulatory frameworks.

[Data Protection & Privacy]Formal Data Classification Framework (Public, Internal, Confidential, Restricted)

Foundation of data governance and access control.

[Data Protection & Privacy]Encryption at rest and in transit for sensitive customer & financial records

Universal data security baseline for all sectors.

[Data Protection & Privacy]Defined Data Retention & Certified Sanitization procedures

Eliminates legal liability from obsolete record retention.

[Internal Audit & Controls]Closed-loop Internal Audit Action Tracking platform with assigned action owners

Prevents audit findings from disappearing into email threads.

[Internal Audit & Controls]Segregation of Operational Duties & Approval Matrix enforced

Mitigates internal fraud and operational error risks.

[Internal Audit & Controls]Business Continuity & Disaster Recovery Plan (BCP/DRP) tested annually

Ensures resilience against supply chain or infrastructure outages.

Compliance Readiness Index
0%Compliant

Identified Control Gaps (12)

[Enterprise Governance & ERM] Board-approved Enterprise Risk Appetite Statement & Risk Policy in place
Essential for defining operational risk boundaries across all industries.
[Enterprise Governance & ERM] Centralized Enterprise Risk Register with automated risk scoring
Replaces static spreadsheets with real-time risk visibility.
[Enterprise Governance & ERM] Key Risk Indicators (KRIs) monitored with automated threshold alerts
Provides early signals before operational loss incidents occur.
[Information Security & Cyber] Mandatory Multi-Factor Authentication (MFA) on all corporate portals & email
Universal control preventing 99.9% of credential theft breaches.
[Information Security & Cyber] Tested Immutable Air-Gapped Backups for rapid ransomware recovery
Guarantees operational business continuity without paying ransoms.
[Information Security & Cyber] Tested Incident Response (IR) plan with 72-hr breach notification protocol
Mandatory under global regulatory frameworks.
[Data Protection & Privacy] Formal Data Classification Framework (Public, Internal, Confidential, Restricted)
Foundation of data governance and access control.
[Data Protection & Privacy] Encryption at rest and in transit for sensitive customer & financial records
Universal data security baseline for all sectors.
[Data Protection & Privacy] Defined Data Retention & Certified Sanitization procedures
Eliminates legal liability from obsolete record retention.
[Internal Audit & Controls] Closed-loop Internal Audit Action Tracking platform with assigned action owners
Prevents audit findings from disappearing into email threads.
[Internal Audit & Controls] Segregation of Operational Duties & Approval Matrix enforced
Mitigates internal fraud and operational error risks.
[Internal Audit & Controls] Business Continuity & Disaster Recovery Plan (BCP/DRP) tested annually
Ensures resilience against supply chain or infrastructure outages.
Email Executive Compliance Gap Report