SmartSuite for the Compliance Analyst
The Compliance Analyst performs compliance assessments, collects and evaluates evidence, executes control tests, documents results and prepares reporting. They do the detailed work that keeps the compliance program evidenced and the findings log current.
What you own
The Compliance Analyst performs compliance assessments, collects and evaluates evidence, executes control tests, documents results and prepares reporting.
- Perform compliance assessments against mapped requirements
- Evaluate evidence submissions for completeness and accuracy
- Execute control tests and record results
- Log findings and track remediation activities
- Maintain the obligations and control library data
- Prepare compliance reports and dashboards
At a glance
The GRC processes this role owns, touches and depends on.
Owns
accountable for the process
Touches
contributes or approves
Depends on
consumes its output
How the GRC processes connect
Three lines of defense set the frame; the chain shows where each process hands off to the next. Colors follow the role: navy is owned, blue is touched, gray is depended on.
Reporting lines
Who this role reports to, who reports to them, and the peers they work with most.
Reports to
Direct reports
Works closely with
How SmartSuite supports this role
Lead
Compliance management. Streamlines assessments with templates and workflows, evaluating submissions for completeness and recording control test results in one place.
Issues and actions. Documents findings and tracks remediation activities with automated reminders to owners.
Reporting. Prepares compliance dashboards and status reports from assessment and testing data.
Products this role uses most
Industry reference
ISO 37301:2021 and ISACA guidance set the standard the analyst works to: documented test procedures, evidence that is complete and dated, and findings logged with owners. The AICPA's Trust Services Criteria define what a SOC 2 assessor tests.
The frameworks under test vary by sector: HIPAA safeguards in healthcare, FFIEC and NYDFS requirements in financial services, NIST SP 800-53 controls in the public sector, and SOC 2, ISO/IEC 27001 and PCI DSS v4.0.1 in technology. In each, the analyst's workpapers are what the external assessor samples.
Related roles
Explore Further
Guides and definitions from the GRC Knowledge Center and the What-is glossary, chosen for this role.
Frequently asked questions
What does a Compliance Analyst do day to day?
The Compliance Analyst does the detailed work that keeps the compliance program evidenced: performing assessments against mapped requirements, evaluating evidence submissions for completeness and accuracy, executing control tests and recording results, logging findings and tracking remediation, maintaining the obligations and control library data and preparing compliance reports and dashboards. In SmartSuite that work runs in Compliance Assessments & Testing against the frameworks held in Control Framework & Regulatory Libraries.
How does SmartSuite help a Compliance Analyst run assessments and control tests?
SmartSuite streamlines assessments with templates and workflows in Compliance Assessments & Testing, so the analyst works through each assessment against its mapped requirements, evaluates the evidence submitted for completeness and records the control test result in the same place. Evidence that is incomplete or undated is caught at submission rather than by the external assessor, and the test procedure and result sit together, which is what an auditor sampling the workpapers expects to find.
How are findings and remediation tracked with control owners?
Findings are documented in Issues Management and remediation activities are tracked with automated reminders to the owners, so the analyst is not chasing Control Owners by email to find out whether an action is done. Each finding links to the control and requirement it came from; the analyst sees which remediation is overdue and which has evidence of closure, and the Controls Testing Lead sees the same list for the controls they retest.
How does the analyst keep the obligations and control library current?
Control Framework & Regulatory Libraries holds the frameworks, obligations and the controls mapped to them, and the analyst maintains that mapping as controls change or new requirements arrive. Because assessments and tests are run against the library, keeping it accurate is what makes the test results meaningful: a control mapped to the wrong requirement produces a clean test that proves nothing, and the library is where that is prevented.
How does the Compliance Analyst report to the Compliance Manager?
Compliance dashboards and status reports are prepared from the assessment and testing data in SmartSuite, so the analyst's report to the Compliance Manager or Compliance Officer is a view of the current state rather than a document assembled at month end. The Internal Auditor and Risk Analyst can read the same control results. New customers can start with SmartSuite Onboarding, a guided four-week program around one or two priority workflows. For an analyst that means the assessment cycle: load the frameworks in scope and the controls, then run the first assessment.
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