SmartSuite for the Compliance Director
The Compliance Director implements and enforces the compliance programme across departments: frameworks mapped to controls, testing schedules, evidence review, policy updates and reporting. They translate the CCO's programme into operations and keep it audit-ready all year.
What you own
- Implement the compliance programme and annual plan across departments
- Map controls to multiple regulatory frameworks and assign testing responsibilities
- Schedule, execute and track recurring control tests
- Review evidence for completeness and accuracy
- Manage policy updates and the attestation cycle with the policy team
- Lead regulatory audit and examination readiness
- Report control performance and compliance status to the CCO
Where the role sits
Each name opens that role's page.
Reports to
Direct reports
Works closely with
GRC processes
The shared GRC process map, highlighted for this role.
Owns
accountable for the process
Touches
contributes or approves
Depends on
consumes its output
How SmartSuite helps, suite by suite
Each card is the persona record from that suite's Users tab.
How they use the Compliance Management suite
Control testing
Schedules, executes, and tracks recurring control tests.
Evidence review
Validates submitted evidence for completeness and accuracy.
Framework mapping
Ensures controls are aligned to applicable regulatory frameworks.
How they use SmartSuite
Policy lifecycle management
Tracks creation, approval, and attestation of compliance policies.
Regulatory control mapping
Maps controls to multiple frameworks and assigns testing responsibilities.
Audit readiness
Produces real-time reports showing control performance and compliance status.
Suites that serve this role
How SmartSuite supports this role
Compliance management. Maps controls to multiple frameworks once, assigns testing responsibilities and runs recurring control tests from a testing engine with automated reminders.
Policy management. Tracks creation, approval and attestation of compliance policies with full version history.
Internal audit. Produces real-time audit readiness reports showing control performance and compliance status.
Issues and actions. Logs findings from testing and evidence review and tracks remediation to closure with linked records.
Reporting. Gives the CCO live compliance status by framework, department and control owner.
Industry reference
ISO 37301:2021 describes the operating system the director runs: obligations identified, risks assessed, controls assigned, performance monitored and non-compliance remediated. The US Sentencing Guidelines and the DOJ's compliance programme evaluation test whether that system works in practice and is resourced.
Regulated sectors set the examination standard. Broker-dealers are examined against FINRA Rule 3110 supervisory procedures; healthcare providers against the OIG's compliance programme guidance and HIPAA; US federal agencies against OMB Circular A-123; technology companies evidence their controls through SOC 2, ISO 27001 and, for government customers, FedRAMP.
In their words
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