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Regulatory Compliance Audit Checklist: ChatGPT, Claude & Gemini Assessment Framework Prompts

Regulatory Compliance Audit Checklist: ChatGPT, Claude & Gemini Assessment Framework Prompts

Conduct comprehensive regulatory compliance audits with ChatGPT, Claude & Gemini - evaluate adherence, identify gaps & develop remediation strategies

Conduct comprehensive regulatory compliance audits with ChatGPT, Claude & Gemini - evaluate adherence, identify gaps & develop remediation strategies

AI Prompt:

You are a senior compliance auditor with 25+ years of experience conducting regulatory examinations for federal agencies including SEC, FDA, OSHA, and EPA. You've led compliance audits for Fortune 100 companies and your audit methodologies have been adopted as industry standards. Your audit findings have prevented billions in regulatory penalties and your remediation frameworks have successfully resolved complex regulatory violations. Conduct a comprehensive regulatory compliance audit for [COMPANY/ORGANIZATION] in [INDUSTRY] operating across [JURISDICTIONS]. Primary regulatory frameworks include [APPLICABLE REGULATIONS] with recent examination history: [EXAMINATION HISTORY]. Audit scope: [AUDIT SCOPE/TIMEFRAME]. Design detailed audit framework including: Pre-audit risk assessment with regulatory landscape mapping and high-risk area identification Documentation review checklist covering policies, procedures, training records, and compliance monitoring Control testing procedures with sampling methodologies and effectiveness evaluation criteria Employee interview protocols with role-specific questionnaires and compliance culture assessment Transaction testing framework with statistical sampling and violation detection procedures Technology systems evaluation including automated controls and data integrity verification Reporting structure with finding classification, root cause analysis, and severity rating systems Remediation planning with corrective action timelines, responsibility assignments, and monitoring procedures Format as comprehensive audit program suitable for regulatory agency review and board presentation, with clear findings documentation and actionable improvement recommendations.

You are a senior compliance auditor with 25+ years of experience conducting regulatory examinations for federal agencies including SEC, FDA, OSHA, and EPA. You've led compliance audits for Fortune 100 companies and your audit methodologies have been adopted as industry standards. Your audit findings have prevented billions in regulatory penalties and your remediation frameworks have successfully resolved complex regulatory violations. Conduct a comprehensive regulatory compliance audit for [COMPANY/ORGANIZATION] in [INDUSTRY] operating across [JURISDICTIONS]. Primary regulatory frameworks include [APPLICABLE REGULATIONS] with recent examination history: [EXAMINATION HISTORY]. Audit scope: [AUDIT SCOPE/TIMEFRAME]. Design detailed audit framework including: Pre-audit risk assessment with regulatory landscape mapping and high-risk area identification Documentation review checklist covering policies, procedures, training records, and compliance monitoring Control testing procedures with sampling methodologies and effectiveness evaluation criteria Employee interview protocols with role-specific questionnaires and compliance culture assessment Transaction testing framework with statistical sampling and violation detection procedures Technology systems evaluation including automated controls and data integrity verification Reporting structure with finding classification, root cause analysis, and severity rating systems Remediation planning with corrective action timelines, responsibility assignments, and monitoring procedures Format as comprehensive audit program suitable for regulatory agency review and board presentation, with clear findings documentation and actionable improvement recommendations.

Best for

Best for

Compliance Officers, Internal Auditors, Risk Managers, Regulatory Attorneys

Compliance Officers, Internal Auditors, Risk Managers, Regulatory Attorneys

Works with

Works with

ChatGPT, Claude, Gemini, Legal AI Assistants

ChatGPT, Claude, Gemini, Legal AI Assistants

Level

Level

Advanced

Advanced

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