08 use regulatory operations

Use Regulatory Operations

What this does

Regulatory Operations helps teams review regulatory findings, connect findings to delivery work, remediate issues, or accept risk with a traceable record.

Use this page when compliance signals from systems such as Vanta need to be reviewed and acted on before release certification or audit review.

Before you begin

Make sure:

• your organization has the relevant compliance integration configured
• your role can view compliance or regulatory findings
• your role can create remediation work or risk-acceptance records if you plan to take action
• the correct team or organization context is selected

Open Regulatory Operations

1. Open Compliance.
2. Select Regulatory Operations.
3. Review the summary cards and findings table.
4. Use filters such as severity, status, source, framework, control, or owner if available.

Review a finding

1. Find the regulatory finding in the table.
2. Open the finding details.
3. Review the source, severity, control, status, evidence, and related release context.
4. Check whether the finding is already linked to remediation work, an accepted risk, or a release certification.

Take action on a finding

Depending on your permissions and the finding status, you can:

• create a remediation issue or task
• link the finding to an existing work item
• attach evidence
• mark the finding as reviewed
• accept risk with a reason and owner
• connect the finding to a release certification checkpoint

Use findings in release certification

Regulatory findings can be used as inputs to release certification. When a release is being certified, LoopIQ can surface regulatory controls and findings that may affect release readiness.

Use this to answer:

• Which controls affect this release?
• Which findings need remediation before approval?
• Which risks were accepted, by whom, and why?
• Which evidence supports the certification decision?

Tips

• Do not close a regulatory finding unless the source system and LoopIQ record agree.
• Link findings to work whenever remediation is required.
• Use risk acceptance only when the business owner and compliance owner agree.
• Review regulatory findings before final release approval.

Related articles

• Create and Manage Release Certifications
• Use AI Governance Actions on Release Certifications
• Configure Observability and Compliance Integrations