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Control 3.3: Compliance and Regulatory Reporting - Portal Walkthrough

This playbook provides step-by-step portal configuration guidance for Control 3.3.

Prerequisites

  • Purview Compliance Admin role in Microsoft Purview
  • SharePoint Site Owner permissions for report archiving
  • Power BI Pro or Premium license for dashboards
  • Power Automate license for automated workflows

Step 1: Configure Microsoft Compliance Manager

Portal Path: Microsoft Purview > Compliance Manager > Assessments

  1. Navigate to Microsoft Purview Compliance Portal
  2. Select Compliance Manager in the left navigation
  3. Click Assessments > + Add assessment
  4. Create assessments for applicable regulations:
Assessment Template Scope
FINRA Agent Governance Custom template AI Agents
SEC 17a-4 Records SEC 17a-4 template Agent Interactions
SOX 404 IT Controls SOX 404 template Agent Infrastructure
GLBA Safeguards GLBA 501(b) template Customer Data Agents
  1. Map FSI-AgentGov controls to assessment actions

Step 2: Create Compliance Reporting Template Library

Report Types Required:

Report Type Frequency Audience Retention
Control Status Summary Weekly IT/Compliance 3 years
Regulatory Alignment Report Monthly Compliance/Audit 7 years
Executive Compliance Dashboard Monthly C-Suite 3 years
Examination Ready Package On-demand Regulators 7 years
Audit Evidence Bundle Quarterly Internal/External Audit 7 years
Incident Compliance Summary As needed Compliance/Legal 7 years

Step 3: Set Up SharePoint Report Archive

Portal Path: SharePoint Admin Center > Sites > Create Site

  1. Create dedicated SharePoint site: AI-Compliance-Reports
  2. Configure document libraries:
AI-Compliance-Reports/
├── Weekly Reports/
│   ├── Control Status/
│   └── Metrics Summary/
├── Monthly Reports/
│   ├── Regulatory Alignment/
│   ├── Executive Dashboard/
│   └── Trend Analysis/
├── Quarterly Reports/
│   ├── Audit Evidence/
│   ├── Risk Assessment/
│   └── Control Effectiveness/
├── Examination Packages/
│   ├── FINRA/
│   ├── SEC/
│   ├── OCC/
│   └── State Regulators/
└── Archive/
    └── [Year]/
  1. Apply retention labels:
  2. Regulatory-7Year for examination packages
  3. Compliance-3Year for operational reports

Step 4: Configure Automated Report Generation

Portal Path: Power Automate > Create > Scheduled cloud flow

Create automated flows for each report type:

Flow Name Trigger Actions
Weekly Control Status Every Monday 6 AM Query Compliance Manager > Generate PDF > Email > Archive
Monthly Regulatory Report 1st of month Aggregate data > Generate report > Route for approval > Archive
Quarterly Audit Package Quarterly Compile evidence > Generate package > Executive sign-off > Archive

Step 5: Build Compliance Dashboard in Power BI

Dashboard Components:

Section Metrics Data Source
Overall Compliance Score % controls compliant Compliance Manager
Control Status by Pillar Red/Yellow/Green by pillar Control tracking
Regulatory Coverage % regulations addressed Assessment mapping
Trend Analysis Score over time Historical data
Action Items Open remediation items Compliance Manager
Upcoming Reviews Scheduled control reviews Calendar integration

Step 6: Establish Report Distribution and Approval

Distribution Matrix:

Report Primary Recipients CC Recipients Approval Required
Weekly Status Compliance Team, IT Ops - No
Monthly Regulatory CCO, CIO, CISO Business Heads Yes - CCO
Quarterly Audit CAO, External Auditors CCO, CEO Yes - CAO, CCO
Examination Package Exam Coordinator CCO, Legal Yes - CCO, Legal

Step 7: Configure Regulatory Calendar Integration

Track examination schedules and filing deadlines:

Regulator Typical Schedule Report Requirements
FINRA Annual cycle exam Books and records, supervision evidence
SEC Periodic exams 17a-4 compliance, trading records
OCC 12-18 month cycle IT risk management, third-party controls
State Regulators Annual State-specific requirements
SOX Auditors Annual IT general controls, access management

Back to Control 3.3 | PowerShell Setup | Verification Testing | Troubleshooting

Updated: January 2026 | Version: v1.2