small business compliance and audit tracker

Product title

Small business Compliance Evidence Tracker — Excel Workbook for PIPEDA, OSFI, FINTRAC, CIRO & More

Made for Canadian businesses

Tagline / short description (shows under the title in search & social previews)

Stop hunting through folders when an auditor asks for proof. One Excel workbook to track every compliance obligation, its evidence, and its gaps — built around six Canadian regulatory frameworks.

Full description

Compliance Vault built this workbook for the exact moment a regulator, an internal auditor, or your own board asks: "Show me the evidence."

Most compliance tracking lives scattered across email, shared drives, and someone's memory. This workbook gives you one place to log every obligation, prove it with evidence, flag what's missing, and answer audit requests — organized around the frameworks that actually govern Canadian financial services and consumer compliance: PIPEDA, OSFI, FCAC, FINTRAC, CIRO, and PCMLTFA.

How it works

Requirements → Evidence → Gaps & Remediation → Audit Requests → Management Report. Each sheet feeds the next, and the Dashboard rolls everything up automatically.

What's inside (7 linked sheets):

• Read Me — orientation and suggested workflow

• Dashboard — live counts of requirements, evidence items, open gaps, overdue actions, and high/critical risks

• Requirements & Controls — your master inventory of obligations, owners, frequency, and status

• Evidence Register — every supporting document, its owner, location, and review date

• Gap & Remediation — deficiencies with risk ratings and a Due Status that auto-flags overdue items

• Audit Requests — track requests from internal audit, external auditors, or regulators

• Management Report — turns the detail into an executive-ready summary

What you get

• Excel workbook (.xlsx) — 500 pre-numbered rows per sheet, fully editable

• A second copy pre-filled with a realistic sample scenario across all six frameworks, so you can see exactly how it's meant to be used

• PDF User Guide with field-by-field instructions

• Personal & business use license — use it for your own organization or client work

• Instant digital delivery, no subscription

Who it's for

Small businesses and credit unions building their first real compliance system · fintechs and neobanks organizing obligations across multiple regulators · consultants who want a reusable framework for client engagements · internal audit and governance teams who need one shared source of truth.

Format & compatibility

Excel (.xlsx), opens in Excel or Google Sheets. Works on Windows and Mac.

Important: this is a workflow and documentation tool, not legal advice.