How We Built Structure, Accountability, and Peace of Mind—One Control at a Time
When I first took on compliance documentation, I didn’t have a roadmap. We were already using over 50 SaaS tools—some managed by IT, others by different departments. And while we had pockets of controls in place, we didn’t have a clear, consistent structure to point to when funders or auditors asked questions.
The problem wasn’t that we didn’t care about compliance—it was that our systems evolved faster than we could document or track them. With a small team and constant fires to put out, building a full compliance framework felt impossible.
What finally helped was creating a living checklist—a centralized, practical reference we could build up over time. It gave us structure, clarity, and a shared way to track our progress.
If you’re looking for a foundational list to work from, you might also want to check out our SaaS Compliance Checklist: Key Steps for Every Business for a simplified starting point.
Why SaaS Compliance Feels Overwhelming
SaaS makes compliance harder in subtle ways:
- Tools update themselves without warning
- Teams adopt apps before IT can review them
- Each vendor has its own take on security, encryption, and logging
- Traditional compliance frameworks often assume you run your own infrastructure, which you don’t
What we needed wasn’t another framework. We needed a way to translate compliance into actions we could take, across our real-world tech stack.
Our SaaS Compliance Checklist: What to Cover
This checklist blends requirements from HIPAA, SOC 2, ISO 27001, and general best practices, broken into practical focus areas.
1. Access Management
- Centralized Identity Provider (e.g., Okta, Azure AD) for all logins
- Multi-Factor Authentication (MFA) enforced for all privileged accounts
- Role-based access documented per system
- Formal onboarding and offboarding procedures
- Quarterly access reviews for critical tools
- Inactivity-based account deactivation or review process
We made access reviews easier by mapping job roles to Okta groups and scheduling recurring reviews with team leads.
2. Documentation and Policy
- Acceptable Use Policy signed by all users
- Data Protection & Privacy Policy available internally
- Written SOPs for access management, incident response, and system changes
- Change management process for high-risk updates
- Vendor list with risk levels and system owner assigned
- Audit trail maintained for key admin actions
Early on, our docs were scattered. Now, they’re versioned, reviewed quarterly, and stored in a central Box folder with an index note.
3. Data Handling and Retention
- Data classification scheme in place (e.g., Public, Internal, Confidential)
- Retention policies defined per system or data type
- Encryption at rest and in transit documented for each major platform
- Backups configured for cloud data (e.g., email, files, CRM records)
- File sharing settings restricted based on sensitivity
- Logging enabled for downloads, edits, and deletions
We used classification tags in Microsoft Purview and Box to make data handling more automated, and backed it up with user training.
4. Security Awareness and Training
- Security training required for all new hires
- Phishing simulations conducted at least twice a year
- Annual refresher training for all staff
- Role-specific training for IT admins and data owners
- Guidance available for reporting suspicious activity
Rather than using fear tactics, we focused on real-world examples, like nearly-sent fraudulent invoices, to make security relevant.
5. Incident Response and Logging
- Incident response contacts clearly listed
- Playbooks defined for common scenarios (e.g., phishing, data loss)
- Logging enabled for all key SaaS platforms
- Alerting in place for high-risk activity (e.g., mass downloads)
- Documented incident log with lessons learned
- Tabletop exercise conducted at least once per year
We didn’t wait for an incident to write the plan—we ran a tabletop simulation first and adjusted our playbooks accordingly.
6. Vendor Risk and Third-Party Management
- Inventory of all SaaS tools with system owners and data classification
- Security review required before new tool adoption
- DPAs and security documentation on file for critical vendors
- Vendor access reviewed annually or as needed
- Offboarding plan in place for vendor termination or data migration
We created a simple internal form teams use when requesting new tools—it helps us catch security concerns before adoption.
How We Use the Checklist in Practice
This checklist isn’t a formality—it’s a shared working tool. We:
- Store it in Box as a live document
- Tag items with status: complete, in progress, not started
- Assign owners and review dates per control
- Link directly to supporting documents, SOPs, or policy files
- Integrate it into project planning (e.g., onboarding a new SaaS vendor means checking 5 related items)
Looking to validate your controls or prep for an internal review? Use this list alongside our SaaS Audit Guide to test your systems and identify gaps.
Final Thoughts
Compliance in a SaaS environment isn’t just about rules—it’s about making your operations safer, smarter, and more transparent. A checklist won’t solve everything overnight, but it gives you the structure to move forward—one step, one system, and one policy at a time.
If you’re not sure where to start, start with the items you can control. Then expand. Over time, you’ll build a compliance culture that doesn’t just check boxes, but drives value across your organization.
Want to go deeper into how compliance connects to security architecture and data controls?
Explore the full guide:
Comprehensive SaaS Security Management