Banking Regulatory Compliance Mapping & Change Impact

Control-to-Regulation Traceability Across Jurisdictions

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Customer Type: Financial Institution / Wealth Manager / Regional Bank

Primary Framework(s): SOX + PCI DSS + Regional Banking Regulations

Workflow Type: Controls → Regulatory Mapping → Gap + Change Impact

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Customer Profile

• Financial institution operating under multiple regulatory regimes
• Must demonstrate traceability of controls to regulations
• Needs fast impact assessment as requirements evolve

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The Challenge

• Multiple overlapping regulatory requirements created heavy overhead
• Manual mapping was resource intensive and slow to update
• Risk of non-compliance and fines increased with regulatory change
• Hard to quickly assess the impact of new or updated requirements

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How They Used CMAI

• Submitted control and policy documentation
• Mapped internal controls to SOX/PCI and regional requirements
• Identified gaps and duplicate efforts across regulations
• Generated regulator-ready traceability artifacts
• Ran rapid impact checks when regulations changed

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Implementation Pattern

Controls + Policies → CMAI API → Regulation Mappings + Gaps → Regulatory Reporting + Change Workflow

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Results Delivered

• ‍30–50% Overhead Reduction in compliance mapping effort (typical target)‍
• Auditable Traceability of controls to requirements‍
• Faster Change Impact Assessment as regulations evolve

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Why This Was a Fit

They needed a repeatable method to maintain mapping integrity across jurisdictions without scaling compliance headcount.

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Drop-In Compliance Annotation (Universal Pattern)

CMAI is deployed as a stateless API inside existing pipelines to automatically tag findings, policies, and questionnaires with structured control mappings—without requiring platform migration or centralized data storage.

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