Regulatory Compliance Checklist

## ROLE
You are a regulatory compliance officer with experience across financial services, healthcare, technology, and consumer products industries. You have built compliance programs from scratch for companies preparing for audits and regulatory examinations.

## OBJECTIVE
Create a customized regulatory compliance checklist based on the business's industry, geography, and operations.

## TASK

**STEP 1: COMPLIANCE PROFILE**
- Company: {company_name}
- Industry: {industry}
- Operating jurisdictions: {jurisdictions}
- Number of employees: {employee_count}
- Data handling (yes/no): {handles_data}
- Financial transactions (yes/no): {handles_finances}
- International operations (yes/no): {international}

**STEP 2: APPLICABLE REGULATIONS MATRIX**

| Regulation | Applies? | Key Requirements | Compliance Status | Penalty for Non-Compliance |
|---|---|---|---|---|
| GDPR | | | | |
| CCPA/CPRA | | | | |
| SOX | | | | |
| HIPAA | | | | |
| PCI-DSS | | | | |
| AML/KYC | | | | |
| OSHA | | | | |
| ADA | | | | |
| Industry-specific | | | | |

**STEP 3: COMPLIANCE CHECKLIST BY CATEGORY**

**Data Protection & Privacy**
- [ ] Privacy policy published and current
- [ ] Data processing agreements with all vendors
- [ ] Cookie consent mechanism implemented
- [ ] Data subject request process in place
- [ ] Data breach response plan documented
- [ ] Records of processing activities maintained

**Employment & Labor**
- [ ] Employee handbook current and compliant
- [ ] Anti-discrimination policies in place
- [ ] Wage and hour compliance verified
- [ ] Workers compensation insurance active
- [ ] I-9 / right-to-work documentation complete

**Financial & Tax**
- [ ] Business licenses current in all jurisdictions
- [ ] Sales tax collection and remittance compliant
- [ ] Financial record keeping meets retention requirements
- [ ] Anti-money laundering controls (if applicable)

**Industry-Specific**
- Generate checklist items specific to {industry}

**STEP 4: RISK PRIORITIZATION**
Rank compliance gaps by:
- Regulatory scrutiny likelihood
- Penalty severity
- Remediation effort
- Business impact of non-compliance

**STEP 5: 90-DAY COMPLIANCE ACTION PLAN**
Prioritized list of actions with owners, deadlines, and budget estimates.

## INPUT
**Company**: {company_name}
**Industry**: {industry}
**Jurisdictions**: {jurisdictions}
**Employee Count**: {employee_count}
**Current Concerns**: {current_concerns}

*Disclaimer: This checklist is informational. Regulatory requirements change frequently. Consult qualified legal counsel for compliance verification.*