How to Prepare for Compliance and IT Audits

How to Prepare for Compliance and IT Audits

How to Prepare for Compliance and IT Audits

Compliance and IT audits are indispensable in any organization for a healthy security
posture. They help you identify the weaknesses in your security management, risk
assessment, and remediation measures. Several internal and external authorities
conduct regular compliance and IT audits for businesses based on their affiliated
industry. It is, therefore, important to prepare carefully for such audits.

Here are some tips on how to prepare for compliance and IT audits.

Make sure that your employees are trained on the compliance policy

Many a time, your perfectly designed compliance and security policies are either
misunderstood or simply not read by your employees. If your employees are unable to
comprehend what rules and regulations you want them to adhere to, there will be no
compliance. Training your employees by explaining to them all the points laid out in your
compliance and IT security plans will make them more responsible and accountable
towards the security measures in your organization. Send them regular reminders and
pointers on your policies so they understand the gravity of all the audits. This will help
you prepare your organization for compliance and IT audits.

Conduct your own audit

If you are preparing for compliance or an IT audit to be conducted by federal or state
authorities that regulate your business, it is a good idea to conduct an internal audit first.
This will help you identify and correct your mistakes and even amend your current
security policy to improve your organization’s security. If you are not able to correct your
policy in time, at least you will not be surprised when the auditors point out the gaps in
your security framework.


Conducting manual compliance and IT audits is not a one-person job. To prepare for
these audits, delegate your human resources and assign different aspects of the job to
separate experienced employees. This will make your team more accountable and save
time when preparing for your next audit.

Maintain extensive user activity logs

This is a requirement as you prepare for a compliance audit. You must maintain a log of
how a given set of data in your organization has been edited, processed or shared by
your employees. Keeping a track of these details will help you pinpoint the exact
dataset, time and user linked to an intentional or unintentional act of non-compliance.
This user activity log should be kept up-to-date with no exceptions for any personnel.

Know the threats that others in your industry are facing

There may be other organizations that are in the same business as you which are
facing cyber-threats or compliance issues. If an IT or a compliance auditor detected a
certain security or compliance issue at another organization, they will make sure that
your organization is scanned for the same error. If you are aware of the goings-on in
other organizations, you will have time to prepare and correct your existing security and
compliance or incorporate new regulations before the next audit.


Follow our guidelines to thoroughly prepare for your upcoming compliance and IT audits
and make your organization more audit-friendly.