SmartSuite for the Compliance Director
The Compliance Director implements and enforces the compliance program across departments: frameworks mapped to controls, testing schedules, evidence review, policy updates and reporting. They translate the CCO's program into operations and keep it audit-ready all year.
What you own
The Compliance Director implements and enforces the compliance program across departments: frameworks mapped to controls, testing schedules, evidence review, policy updates and reporting.
- Implement the compliance program 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
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. 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.
Products this role uses most
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 program 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 program 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.
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 Director own across the program?
The Compliance Director implements the compliance program across departments: mapping controls to multiple regulatory frameworks and assigning testing responsibilities, scheduling, executing and tracking recurring control tests, reviewing evidence, managing policy updates and the attestation cycle with the policy team, leading regulatory audit and examination readiness and reporting control performance and compliance status to the Chief Compliance Officer. They turn the CCO's program into operations and keep it audit-ready all year.
How does SmartSuite help a Compliance Director map controls to several frameworks?
SmartSuite maps controls to multiple frameworks once in Control Framework & Regulatory Libraries, assigns testing responsibilities to control owners and runs recurring control tests from a testing engine with automated reminders in Compliance Assessments & Testing. The director sets the test schedule; owners are reminded when a test is due; results come back against the control and every framework it satisfies, so one test serves SOC 2, ISO 27001 and the sector rulebook together.
How does the director manage policy updates and attestation?
Policy Management tracks the creation, approval and attestation of compliance policies with full version history, so the director and the Policy and Governance Manager can see which policies are due for update, which are awaiting approval and who has yet to attest. Regulatory Change Management tracks new and changed obligations, so a regulatory change leads to a policy update that is visible from the change to the attestation.
How does the director keep the program audit-ready all year?
SmartSuite produces real-time audit readiness reports showing control performance and compliance status, so examination readiness is a standing condition rather than a project before each audit. The director can see which controls have current test results and evidence, which are overdue and which have open findings, and give the Audit Director or an examiner that picture without a preparation period. Evidence reviewed for completeness stays attached to the control it supports.
How are findings from testing tracked to closure?
Findings from testing and evidence review are logged in Issues Management and remediation is tracked to closure with linked records, so each finding points to the control, the test and the framework requirement it came from. The Compliance Managers and Compliance Officers who report to the director, and the Compliance Analysts under them, work the same list; the director sees aging findings across departments and the Internal Controls Manager sees those that touch financial controls.
How does the Compliance Director report to the Chief Compliance Officer?
The CCO gets live compliance status by framework, department and control owner from SmartSuite, so the director's report upward is a view of the current state rather than a monthly compilation. New customers can start with SmartSuite Onboarding, a guided four-week program around one or two priority workflows. For a Compliance Director the first workflow is control mapping: load the frameworks in scope, map the controls, assign owners and set the test schedule, then bring in current policies and open findings. From then the program runs on reminders and results rather than on chasing.
See SmartSuite for your role
Start a free trial, or book a demo and we will walk through your role's workflows in SmartSuite.