02 — Capability · BC-140.40
Compliance Monitoring & Testing
Check on a schedule whether the enterprise is actually complying, find the gaps before a regulator does, and track them to closure.
- Compliance Testing
- Second-Line Monitoring
- Compliance Assessment
In scope
- Risk-based compliance monitoring plan
- Transaction and control testing for compliance
- Issue logging and remediation tracking
Out of scope
- Third-line internal audit testing (see BC-160)
- Quality inspections of products (see BC-550)
Realized by · 4
Used in · 0
- Not yet placed on a value stream.
Build it · 0
- Nothing in the library points here yet.
Decomposes into · 3
- BC-140.40.10Monitoring Plan DevelopmentDecide which obligations and businesses get tested, how often and how deeply, based on their risk.
- BC-140.40.20Compliance TestingSample transactions, records and behaviors against the rules and document what passed and what did not.
- BC-140.40.30Compliance Issue RemediationLog each gap with an owner and date, verify the fix and escalate the ones that slip.