Compliance Roadmap

1) Purpose and principles

The Compliance Roadmap is a unified plan of work over a horizon of 12-24 months, linked to risks, licenses, product strategy and jurisdictional requirements.

• Risk-first: priority on impact on licenses, PII/finance, sanctions, and regulatory deadlines.
• Evidence by design: artifacts and metrics are laid in the plan initially.
• Policy-/Assurance-as-code: requirements and tests of controls - as code.
• One owner: Each initiative has an owner, SLA, budget and success criteria.
• Transparency: general backlog, dashboards, regular committees, escalations.

2) Horizons and plan structure

Strategic (12-24 months): goals, licenses/certifications (ISO/SOC/PCI, etc.), regulatory deadlines, target maturity model.
Tactical (quarters, 3-6 months): epics and releases: policies, controlling, VRM, privacy, training, audit readiness.
Operational (months/weeks): tasks in ITSM/Jira, CCM rules, integration, data migration, training.

Artifact: map "Themes → Epics → Fichi → Tasks" with reference to risks, controls and metrics.

3) Portfolio of initiatives (reference skeleton)

1. Governance & Policies: repository, taxonomy, lifecycle, localizations.
2. Controls and CCM: directory of control statements, tests as code, integration with logs/metrics.
3. Privacy (DSAR/retention/Legal Hold): processes, tools, reporting.
4. VRM/Partners: due diligence, mirror retention, audit right, confirmations.

5. Licenses/certifications: audit plan, PBC lists, "audit pack."

6. AML/KYC/Payments: rules, monitoring, chargeback operations, reporting.
7. Training and Certification (LMS): Turmeric by Role/Country, Recertification.
8. Incidents/BCP/DR: playbooks, RTO/RPO tests, post-mortem → CAPA.
9. Tracking legal changes and alerts: radar, prioritization, implementation.
10. Analytics and dashboards: KPI/KRI, risk heatmap, readiness.

4) Prioritization and evaluation

Methods: RICE + Risk, WSJF with risk adjustment, matrix "Impact × Urgency × Regulatory deadline × Dependencies."

• Critical/High/Medium/Low.
• Jurisdictions affected and scale of customer base.
• Availability of quick compensatory measures.
• Cost/resources and critical path.

Output: ranked backlog marked by deadlines of regulators and mandatory audits.

5) RACI and management

(R — Responsible; A — Accountable; C — Consulted; I — Informed)

6) Dependencies and critical path

Regulatory deadlines and audit/certification windows.
Integrations (SSO/logging/data) and migrations.
Contract updates (DPA/SLA/addendums).
Product releases and technical debt (blocking CI/CD gates).
Tools: Gantt chart/PERT, what-if scenarios, high risk buffers.

7) Budget and resources

Planning of FTE/vendor hours/licenses; split Build/Buy/Partner.
Provisions for audit/pentest/legal services.
ROI/TCV: reduced fines/chargeback, faster audits, savings on manual operations.

8) Policy-/Assurance-as-code

Control statements and thresholds - in YAML/JSON (id, metric, threshold, sources).
CCM rules (Rego/SQL) in the repository with versions and PR process.
CI/CD gates and auto verification schedules; WORM storage for evidence.

9) Milestones and acceptance criteria (DoD)

• Updated policies/standards/SOP with versions and changelog.
• Implemented CCM, pass-rate ≥ target controls/rules.
• Proofs (logs/uploads/screencasts) with hash receipts.
• Training (LMS) and read- & -attest on affected roles.
• Confirmed vendor mirror (if any).
• Re-audit plan and monitoring for 30-90 days (drift check).

10) Roadmap Metrics and KPI/KRI

On-time Milestones (by quarter), target ≥ 90-95%.
Risk Reduction Index (cumulative risk rate ∆).
Controls Pass Rate and Evidence Completeness (100% target for mandatory).
Time-to-Audit-Ready (hours for collecting "audit pack").
Vendor Certificate Freshness (critical partners - 100%).
Training Completion и Refresher Lag.
Repeat Findings и CAPA On-time.
Regulatory On-time Compliance (before the regulator deadline).

11) Dashboards (minimum set)

Roadmap View: Planned → In Progress → Verify → Done.
Risk Heatmap: before/after initiatives, residual risk.
Controls & Evidence: pass-rate, red rules, completeness.
Regulatory Clock: deadlines of norms, probability of delays.
VRM Mirror: provider and sub-processor confirmations.
Training & Attestations: coverage and delinquencies by role/country.

12) Communications and buy-in

One-pager to epic: "what/why/when/success criteria."

Weekly battle-rhythm: updates of statuses/risks/blockers.
Q&A channel and office hours for teams and regions.
Public Audit/Deadline Calendar.

13) Roadmap Risk Management

Risk register of initiatives: probability/impact/triggers/owners.
Compensatory measures and waivers with an expiration date.
"Stop-the-line" rules in case of threat of license/fines: quick decisions of the Committee.
Regular re-baseline with significant legal changes.

14) SOP (standard procedures)

SOP-1: Road map development

Collection of requirements (risks/regulations/post-mortems/audits) → scoring → RICE/WSJF → Committee approval → Roadmap publication.

SOP-2: Quarterly Planning

Decomposition of epics → quarter goals → dependencies/critical path → release and training slots → budget alignment.

SOP-3: Roadmap Change Management

Change request (reason/impact) → risk/resource analysis → Committee decision → update plans/dashboards.

SOP-4: Closing the initiative

DoD checking → evidence pack collection → lesson recording → updating the policy/control repository → re-audit plan.

15) Artifact patterns

15. 1 Epic card (example)

ID/Name/Jurisdictions/Deadlines

Business Purpose and Risk Rationale

Policies/Controls/SOPs to Change

Success metrics and target thresholds

Dependencies/critical path

Budget/Resources/Vendors

Training and Communications Plan

DoD and evidence list

15. 2 Quarterly Roadmap (grid)

15. 3 Evidence Pack

1. Policy/Control Diff → 2) CCM Reports → 3) Logs/Screencasts → 4) LMS/attestations → 5) Vendor Confirmations → 6) Committee Minutes.

16) Example of quarterly plan (fragment)

Q1: policy repository (M2), CCM launch for IAM/retentions, DSAR-SLA dashboard, onboarding VRM, basic ethics courses.
Q2: localizations for EEA/UK, Legal Hold and WORM archive, audit-dry-run, Payment chargeback processes.
Q3: ISO/SOC certification fieldwork phase, DR exercises, anti-fraud rules and monitoring, partner offboarding.
Q4: External Review/Report, CAPA Close, re-audit, refresh turmeric, plan 2026.

17) Antipatterns

"Wishlist" without risk speed and deadlines.
Policies without measurable controls and metrics.
Manual checks without evidence and WORM.
Lack of buy-in business and regions.
No training/communication → low acceptance.
Eternal waivers, transfers without risk analysis.
No re-audit → repeated violations.

18) Maturity model (M0-M4)

M0 Hell-hoc: reactive fixes, no general plan, "fires."

M1 Catalogue: list of initiatives, basic deadlines and owners.
M2 Manageable: risk scoring, quarterly plans, dashboards and evidence.
M3 Integrated: policy-/assurance-as-code, CI/CD gates, "audit pack" by button, vendor mirror.
M4 Continuous Assurance: predictive KRIs, auto-planning, recommendation priorities, continuous checks.

19) Related wiki articles

Policy and compliance repository

Continuous Compliance Monitoring (CCM)

Legal Update Tracking/Regulatory Change Alerts

KPIs and compliance metrics

Remediation Plans (CAPAs) and Re-Audits

External audits by external auditors

Partner Compliance Guide

Storage of evidence and documentation

Total

The compliance roadmap is a managed change program where risks and regulatory deadlines translate into specific epics, controls and evidence. With this approach, compliance becomes predictable, measurable and scalable - and audit-ready at any time.