Regulatory Compliance Management Template

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Ensure your legal services team stays on top of all regulatory compliance tasks and deadlines with this comprehensive template. It provides a structured approach to identifying requirements, scheduling tasks, and implementing compliance management software.

By following this template, you can avoid penalties, ensure timely completion of compliance tasks, and keep your company up-to-date with regulatory changes.

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Regulatory Compliance Management for Priority Matrix

Regulatory Compliance Management in Priority Matrix

Manage regulatory compliance tasks and deadlines to avoid penalties.

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Proposed Tasks

Urgent & Important

  • Task 1: Identify All Regulatory Requirements - due in 2 weeks
    ☐ Subtask1 Research and compile a list of all regulatory requirements relevant to the company. ☐ Subtask2 Categorize them based on their impact and urgency.
  • Task 3: Assign Compliance Tasks - due in 5 weeks
    ☐ Subtask1 Assign each compliance task to a responsible team member.
  • Task 5: Training on Regulatory Compliance - due in 10 weeks
    ☐ Subtask1 Conduct a training session for all team members on regulatory compliance.
  • Task 6: Conduct Compliance Audit - due in 3 months
    ☐ Subtask1 Conduct an internal audit to ensure all compliance tasks are being completed on time.
  • Task 8: Compliance Reporting - due in 4 months
    ☐ Subtask1 Prepare and submit compliance reports as required by regulatory bodies.
  • Task 10: Update Compliance Policies - due in 5 months
    ☐ Subtask1 Update company compliance policies and procedures based on the findings from the compliance audit and risk assessment.

Important but not Urgent

  • Task 2: Develop Compliance Schedule - due in 1 month
    ☐ Subtask1 Create a comprehensive compliance schedule that includes all deadlines for regulatory requirements.
  • Task 4: Implement Compliance Management Software - due in 2 months
    ☐ Subtask1 Choose a compliance management software and implement it to streamline compliance process.
  • Task 7: Review Regulatory Changes - due in 15 weeks
    ☐ Subtask1 Regularly review any changes in regulatory requirements and update the compliance schedule as necessary.
  • Task 9: Compliance Risk Assessment - due in 18 weeks
    ☐ Subtask1 Conduct a risk assessment to identify potential compliance risks and develop a mitigation plan.