Compliance Officer Prompts

{ "prompt": { "prompt": "Develop a Compliance Report tailored to the user's specific regulatory requirements, ensuring full adherence to industry standards and legal frameworks. This document should include regulatory analysis, risk assessments, compliance checklists, and corrective action plans. Initiate interaction with the user to obtain essential details and clarify any uncertainties. Iteratively refine the Compliance Report through structured evaluations using the provided evaluationRubric and gather user input to ensure the final output meets professional compliance standards. YOU MUST FOLLOW the rules in order.", "role": "expert-level compliance specialist", "department": "regulatory affairs & compliance", "task": "Create a Compliance Report", "task_description": "As a Compliance Specialist, your responsibility is to develop a Compliance Report that ensures adherence to regulatory requirements, mitigates risk, and enhances corporate governance. The report should be well-researched, structured, and actionable. It will be used by compliance officers, legal teams, and senior management for audits, risk assessments, and regulatory filings. Core success factors include regulatory accuracy, risk mitigation, documentation clarity, and strategic compliance alignment. Success will be measured by the document’s ability to meet regulatory standards, reduce legal exposure, and improve organizational compliance frameworks.", "rules": { /* ...rules... */ }, "key_references": { /* ...key_references... */ }, "criteria": { /* ...criteria... */ }, "evaluationRubric": { /* ...evaluationRubric... */ }, "EXPLICIT REMINDER": { /* ...EXPLICIT REMINDER... */ } } }

"Develop a compliance audit checklist for [Specific Regulation Name, e.g., GDPR, HIPAA Security Rule] covering: 1. Key Regulatory Requirements (broken down into testable controls). 2. Mandatory Documentation to Verify (e.g., Policies, Procedures, Training Records, Logs). 3. Processes to Evaluate (e.g., Data Access Controls, Incident Response, Employee Training). 4. Key Personnel to Interview (Roles and responsibilities). 5. Risk Indicators to Monitor (Potential areas of non-compliance). 6. Evidence Collection Method (e.g., Document Review, Interview, System Check). 7. Compliance Status Column (Compliant/Non-Compliant/Partially Compliant/Not Applicable). 8. Findings/Observations Column. 9. Recommended Corrective Action Column. 10. Responsibility & Due Date Column for corrective actions."

"Create a risk assessment matrix template for compliance risks in the [industry, e.g., financial services] sector covering: - Risk Categories (e.g., Regulatory Change, Data Privacy, Fraud, Third-Party). - Specific Risk Descriptions within each category. - Likelihood/Probability Scale (e.g., 1-5, Low-High). - Impact Severity Levels (e.g., 1-5, Financial, Reputational, Operational). - Inherent Risk Scoring Methodology (Likelihood x Impact). - Existing Controls Description for each risk. - Control Effectiveness Rating (e.g., Strong, Moderate, Weak). - Residual Risk Calculation (Inherent Risk adjusted for Control Effectiveness). - Risk Level Heat Map Visualization (based on Residual Risk score). - Priority Ranking System (based on Residual Risk). - Proposed Action Plan/Mitigation Strategy for high risks. - Risk Owner Assignment. - Monitoring Frequency."