Gap Analysis (Compliance)
A systematic assessment comparing an organization's current security and compliance posture against the requirements of a target framework (e.g., DORA, ISO 27001, SOC 2). Gap analysis identifies missing controls, insufficient processes, and remediation priorities.
A compliance gap analysis is typically the first step in any compliance journey. It provides a structured assessment of where an organization stands relative to a specific framework's requirements, highlighting areas that need attention before an audit or regulatory review.
The process involves mapping current controls to framework requirements, assessing the maturity and effectiveness of existing controls, identifying gaps where controls are missing or insufficient, prioritizing gaps by risk level and regulatory importance, and creating a remediation roadmap with timelines and resource requirements.
For financial institutions pursuing multiple frameworks simultaneously (e.g., DORA + ISO 27001 + SOC 2), a cross-framework gap analysis can identify overlapping requirements to avoid duplicated effort. Matproof's platform automates this process by mapping controls across frameworks and providing a unified view of compliance gaps and readiness scores.
Related Terms
Audit Readiness
The state of being prepared for a compliance audit at any time, with all necessary documentation, evidence, and controls in place. Continuous audit readiness replaces the traditional 'audit scramble' approach with always-on compliance monitoring and evidence collection.
Compliance Automation
The use of technology to streamline and automate compliance processes including evidence collection, control monitoring, risk assessment, policy management, and audit preparation. Compliance automation significantly reduces manual effort and improves accuracy.
Risk Assessment
A systematic process of identifying potential threats, evaluating vulnerabilities, and determining the likelihood and impact of risks to an organization's information assets and operations. Risk assessments are foundational to ISO 27001, DORA, and virtually every compliance framework.
Continuous Monitoring
An ongoing process of observing, evaluating, and maintaining awareness of information security controls, vulnerabilities, and threats. Continuous monitoring ensures that compliance status is maintained between formal audits and enables rapid detection of control failures.
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