Compliance Checklist Template
A structured Excel compliance checklist for tracking regulatory and policy requirements across multiple frameworks. Includes evidence tracking, owner assignment, and compliance scoring dashboard.
What’s inside
- Multi-framework compliance tracking
- Evidence tracking and owner assignment
- Blank Template + Filled Example
About this download
The Compliance Checklist Template is a structured Excel workbook for tracking regulatory, contractual and policy compliance obligations across multiple frameworks in one place. Modern organisations typically juggle several frameworks simultaneously — SOC 2, ISO 27001, GDPR, HIPAA, PCI-DSS, SOX, industry-specific regulations, customer contractual obligations, internal policy — and the operational challenge is less understanding each requirement than maintaining current evidence that they are all being met.
The workbook includes a master requirements register (control ID, framework, requirement text, internal policy mapping, owner, test frequency, last test date, next test date, status, evidence link, comments), a per-framework view (SOC 2 Trust Services Criteria, ISO 27001 Annex A controls, GDPR articles, NIST CSF, custom frameworks), an evidence library capturing document title, type, owner, last review date and retention period, an audit-log tab recording every test, its outcome and remediation, a compliance-score dashboard showing readiness by framework and by control category, a gaps-and-remediation tracker, and a calendar view of upcoming tests and attestation deadlines.
This template is used by Chief Information Security Officers, compliance officers, Heads of Risk, DPOs, internal auditors, GRC teams, quality managers and any programme manager running a certification or regulatory programme. It suits SaaS businesses preparing for SOC 2 or ISO 27001 certification, healthcare organisations maintaining HIPAA compliance, retailers maintaining PCI-DSS, financial services firms maintaining regulatory obligations, and multinational companies navigating GDPR and other privacy regimes.
A high-performing compliance programme treats controls as part of daily operations rather than as a once-a-year audit event. Each control should have a named owner who understands the requirement, a clearly defined test procedure, automated evidence collection wherever possible, and a scheduled review cadence. When auditors arrive, the workbook should already contain 12 months of evidence — generating evidence under audit pressure is both more expensive and less convincing.
The filled example inside the download walks through a multi-framework compliance programme for a fictional B2B SaaS company preparing for its first SOC 2 Type II audit, with realistic gaps, credible remediations and a visible path from 60% to 95% readiness over 90 days.
Inside Vizually, compliance remediation actions become tracked cards across the engineering, security and operations teams' boards, so gaps identified in the checklist flow directly into the backlogs where they get fixed.