compliance-check

Compliance Check

Overview

Systematically check a company's regulatory compliance and prepare an internal audit report. We provide compliance gap analysis based on major Korean laws such as the Personal Information Protection Act, Labor Law, and financial regulations, ESG report preparation (K-ESG, GRI, TCFD), and regulatory risk assessment reflecting 2026 amended laws.

Disclaimer: This is AI-assisted analysis and does not replace professional legal advice

Trigger Keywords

compliance, regulatory compliance, audit, internal audit, ESG, environmental management, licensing, regulation, gap analysis, K-ESG, GRI, TCFD, sustainability management, ISMS-P, personal information protection

Workflow

Step 1: Confirm inspection scope

Select regulatory domain:

• Privacy·Data (Personal Information Protection Act, Information and Communications Network Act, ISMS-P)
• Labor·HR (Labor Standards Act, Occupational Safety and Health Act, Serious Accidents Punishment Act)
• Fair Trade (Fair Trade Act, Act on Fair Labeling and Advertising)
• Finance·Fintech (Financial Services Commission regulations, Electronic Financial Transactions Act)
• Environment·Safety (Serious Accidents Punishment Act, Environmental Law)
• ESG·Sustainability (K-ESG, GRI, TCFD)

Deliverable type:

• Compliance check report
• Gap analysis (current status vs requirements)
• Internal audit report
• ESG report

Step 2: Check major 2026 regulatory changes

For the list of 2026 amended laws (Personal Information Protection Act, labor-related, K-IFRS No. 1118), refer to this skill's references/2026-law-changes.md single SSOT. When changes occur, update only that file.

Step 3: Compliance check

Key check items:

• Identify related laws and regulatory status
• Gap analysis of requirements versus current processes and policies
• Classification of penalty levels and risks in case of violation
• Classification of items requiring immediate action vs phased improvement items

Risk assessment:

리스크 우선순위 = 발생 가능성 × 영향도 × 규제 강도

높음(H): 즉시 대응 필요 (과징금, 형사처벌 가능)
중간(M): 3개월 내 대응 계획 수립
낮음(L): 모니터링 유지

Step 4: Prepare audit report (optional)

# 내부 감사 보고서

## 감사 개요
- 기간, 대상, 방법론

## 주요 발견사항
- 고위험 항목 (즉시 시정 필요)
- 중위험 항목 (3개월 내 시정)
- 저위험 항목 (모니터링)

## 세부 감사 결과
- 항목별 준수 여부, 갭 분석

## 권고사항 및 시정 계획
- 단기/장기 개선 방안

## 후속 조치 일정

Step 5: Compose ESG report (optional)

Based on K-ESG guidelines:

E (Environment):

• Greenhouse gas emissions (Scope 1, 2, 3)
• Energy usage (renewable energy share)
• Waste management (recycling rate)
• Water usage

S (Social):

• Employees (gender ratio, turnover rate, training hours)
• Supply chain (ethical management, human rights protection)
• Local community (social contribution activities)
• Customers (personal information protection, data security)

G (Governance):

• Board composition (independent outside director ratio, female executive ratio)
• Audit (internal audit system)
• Ethics·Anti-corruption (Code of Ethics, Reporting Channels)

GRI·TCFD linkage:

• GRI Standards disclosure indicators
• TCFD recommendations (governance, strategy, risk management, metrics and targets)

Usage examples

Example 1: "Check our startup's personal information compliance. Service with 100,000 monthly MAU" → Check relevant laws → Gap analysis → Immediate action items → Improvement roadmap

Example 2: "Draft an ESG report for a small and medium-sized enterprise. Based on K-ESG standards" → Check K-ESG indicators → Request data by section → Report draft → Review

Example 3: "Do a gap analysis to prepare for ISMS-P certification" → ISMS-P requirements → Current status → Gap analysis → Remediation plan

Deliverables

• Compliance inspection report (including priorities)
• Regulatory gap analysis report
• Internal audit report
• ESG report draft (K-ESG, GRI, TCFD)
• Remediation plan and roadmap

Precautions

Disclaimer: This is AI-assisted analysis and does not replace professional legal advice

Key legal information sources:

• Personal Information Protection Commission (pipc.go.kr)
• National Law Information Center (law.go.kr)
• Financial Supervisory Service (fss.or.kr)
• Ministry of Employment and Labor (moel.go.kr)
• Korea Sustainability Standards Board (kssg.or.kr)

Principles for responding to legal risks:

1. Early risk identification > Post-response (cost difference of more than 10 times)
2. Personal information-related risks require both technical and administrative measures
3. Take action after confirming the authoritative interpretation of the regulatory agency

Related skills

• moai-legal:contract-review: Contract review, terms of use drafting
• moai-legal:nda-triage: NDA confidentiality agreement review
• moai-legal:legal-risk: Legal risk analysis, intellectual property strategy
• moai-finance:tax-helper: Tax filing, HomeTax guidance
• moai-core:ai-slop-reviewer: AI pattern review of text deliverables (audit reports, checklists)

Post-processing chain (text deliverables)

Descriptive deliverables such as audit reports, gap analyses, and ESG reports must be finalized with the following chain after drafting.

compliance-check → moai-core:ai-slop-reviewer → moai-content:humanize-korean

• moai-core:ai-slop-reviewer: Review for AI writing patterns (exaggeration, clichés, uniform structure)
• moai-content:humanize-korean: Refine into sentences that read as if written by a person by correcting Korean naturalness

Data deliverables such as tables and score matrices are not subject to this chain and are organized separately with moai-office:xlsx-creator.

When not to use this skill

• Contract review or terms of use drafting → Use moai-legal:contract-review
• Specialized review of NDA confidentiality agreements → Use moai-legal:nda-triage
• Legal risk analysis or intellectual property strategy → Use moai-legal:legal-risk
• Actual legal disputes or litigation response → Be sure to entrust this to a professional lawyer
• Actual tax filing or tax adjustment → Entrust this to a tax accountant