Run Quarterly Compliance Sweep

command

Give every compliance item due next quarter an owner and a scheduled reminder, and deliver the gap report.

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Command: run-quarterly-compliance-sweep

Assign owners to every compliance obligation due next quarter, set up reminders, and compile the gap report for counsel review.

Inputs

  • Compliance calendar — internal registry of all active compliance obligations (SOX (Sarbanes-Oxley), GDPR (General Data Protection Regulation), data protection, vendor agreements, etc.), with due dates and current owner
  • Next quarter dates — start/end dates of the target quarter {e.g., Q3 2026: July 1 - September 30}
  • Reminder lead time — how many days before a deadline to trigger a reminder {default: 14 days}
  • Counsel contact — name and email of general counsel or compliance officer who must approve the final gap report

Steps

  1. Filter the compliance calendar to all items due within the target quarter.
  2. For each item with no owner, assign one using org expertise (e.g., finance owns tax filings, legal owns contract reviews, ops owns SOC 2 (Service Organization Control)).
  3. Create a task for each item in the compliance board with owner, due date, and a 14-day advance reminder.
  4. Scan for items nearing the quarter deadline with no completion status; flag these as gaps.
  5. Compile a gap report listing unstarted or at-risk items, owner name, and days remaining.
  6. Route the gap report to counsel for review and sign-off before sending to stakeholders.

Constraints

  • All compliance communications must carry the note: "This is not legal advice. Attorney review required before external disclosure."
  • Contract text, regulatory filings, and legal analysis stay in files; task summaries reference file location only, never embed contract language.
  • No direct communication with regulators or external counterparties from this workflow; all outbound messaging requires counsel approval.

Done when: counsel has reviewed the gap report, all next-quarter compliance items have assigned owners and reminders in the task board, and the compliance team has the signed-off report for distribution.