5.4 Compliance
📘CompTIA Security+ (SY0-701)
Overview
Compliance monitoring is the continuous process of tracking, reviewing, and ensuring that an organization follows all laws, regulations, policies, and security standards.
In cybersecurity, compliance monitoring helps make sure that systems, data, and business operations remain secure and meet required frameworks such as HIPAA, PCI DSS, ISO 27001, GDPR, and others.
For the Security+ exam, you must understand how organizations monitor compliance through due diligence, attestation, and automation — and how these help maintain security and trust.
1. Due Diligence
Definition
Due diligence is the process of carefully reviewing and verifying that security and compliance requirements are being met on an ongoing basis.
It’s a proactive approach — ensuring that the organization continuously checks and confirms that its security controls, configurations, and policies are working as intended and remain compliant with laws and frameworks.
Purpose
- To ensure the organization does not overlook security or compliance gaps.
- To verify that all third-party vendors and internal systems maintain compliance over time.
- To avoid regulatory penalties and reputational damage.
How Due Diligence Is Done (in IT terms)
- Regular Security Audits: Reviewing configurations of firewalls, access controls, and encryption settings to confirm they meet standards.
- Review of Policies: Ensuring internal security policies are up to date and align with external regulations.
- Vendor Reviews: Checking that external service providers (like cloud providers) continue to meet compliance requirements.
- Risk Reassessments: Periodically identifying new risks or compliance issues as technology or regulations change.
Key Exam Point
- Due diligence = Continuous and careful evaluation of compliance and security requirements.
- It is about maintaining compliance over time, not just at the beginning of a project.
2. Attestation
Definition
Attestation refers to a formal declaration or certification that an organization or system is compliant with specific standards or regulations.
It often involves third-party validation or self-certification, where an entity confirms that it meets defined security or compliance criteria.
Purpose
- To prove compliance to regulators, customers, and partners.
- To build trust that the organization is handling data securely and responsibly.
- To provide documented evidence for audits and assessments.
How Attestation Works (in IT context)
- Third-party compliance reports: A cloud provider might provide an SOC 2 report or ISO 27001 certificate showing they meet specific security standards.
- Self-attestation: A company might complete a PCI DSS Self-Assessment Questionnaire (SAQ) to declare its compliance.
- External audits: Independent auditors verify and sign off that systems and practices meet the required framework.
Key Exam Point
- Attestation = Formal proof or declaration of compliance.
- It can be self-issued (by the organization) or verified by an independent auditor.
3. Automation
Definition
Automation in compliance monitoring means using software tools and systems to automatically check, report, and enforce compliance requirements.
Automation reduces human error and saves time by continuously scanning systems for security or compliance issues.
Purpose
- To maintain real-time compliance visibility.
- To detect noncompliance early before it causes incidents.
- To simplify audit preparation and report generation.
How Automation Helps (in IT terms)
- Continuous Monitoring Tools: Automatically track configurations, system logs, and security events to ensure compliance (e.g., checking if encryption or patching requirements are met).
- Automated Alerts: Generate alerts if a server or user account violates a compliance rule (e.g., weak password policy, unencrypted storage).
- Configuration Management Tools: Enforce baseline configurations using automation (e.g., scripts or compliance-as-code tools like Ansible, Chef, or Terraform).
- Compliance Dashboards: Provide automated compliance reports showing current status and trends.
Key Exam Point
- Automation = Technology-driven monitoring and enforcement of compliance.
- It ensures continuous compliance and minimizes the risk of human oversight.
Summary Table
| Term | Definition | Focus | Example in IT |
|---|---|---|---|
| Due Diligence | Continuous review and verification of compliance | Ongoing evaluation | Regular audits of firewall configurations and access logs |
| Attestation | Formal proof or certification of compliance | Evidence & assurance | SOC 2 report or PCI DSS self-attestation |
| Automation | Using tools to monitor and enforce compliance automatically | Efficiency & consistency | SIEM alerts for policy violations; compliance dashboards |
Exam Tips
- Know that due diligence is ongoing effort, attestation is formal proof, and automation is continuous, tool-based monitoring.
- Understand how they work together:
- Due diligence ensures ongoing checks.
- Attestation formally documents compliance.
- Automation keeps compliance efficient and up to date.
- Be familiar with tools and frameworks that support compliance monitoring, like SIEM systems, vulnerability scanners, and configuration management tools.
- Remember that compliance monitoring supports both internal (organizational) and external (regulatory) requirements.
✅ In Short
Compliance monitoring ensures that an organization continues to meet legal, regulatory, and security requirements.
It involves due diligence (continuous checking), attestation (formal proof), and automation (efficient, technology-based monitoring).
Together, they help protect data, maintain trust, and avoid compliance violations.
