Compliance & Regulatory Assurance Services

Comprehensive compliance operations and regulatory assurance services helping organizations demonstrate system integrity, maintain regulatory compliance, and navigate complex requirements across multiple frameworks and industries. Aprio provides managed compliance programs, certification support, and ongoing compliance management for technology companies, blockchain businesses, government contractors, and regulated enterprises.

Core Compliance Capabilities

SOC Reporting & Compliance: Complete SOC 2 Type I and Type II audits covering security, availability, processing integrity, confidentiality, and privacy controls for service organizations and SaaS providers. Aprio has completed over 10,000 SOC reports across technology, fintech, and blockchain companies. Also includes SOC 1 audits for controls over financial reporting and SOC 3 public reports.

Information Security Compliance: ISO 27001 (information security management systems) implementation, gap assessments, and certification audit support. Includes security program development, ISMS documentation, internal audit support, and ongoing compliance management to maintain certification.

Payment Security Compliance: PCI-DSS (Payment Card Industry Data Security Standard) assessments, gap analyses, remediation roadmaps, and ongoing compliance management for merchants and service providers handling credit card data. Includes quarterly vulnerability scanning and annual compliance validation.

Data Privacy & Regulatory Compliance: GDPR, CCPA, and other data privacy regulation compliance assessments, privacy program development, data mapping, privacy impact assessments, and ongoing privacy management support.

Blockchain & Digital Asset Compliance: Specialized compliance support for cryptocurrency and blockchain companies including AML (Anti-Money Laundering) program development for Bank Secrecy Act (BSA), US Patriot Act, and FinCEN regulations. Stablecoin Agreed-Upon Procedures (AUP) for reserve attestation and GENIUS Act compliance. IRS digital asset reporting support including Form 1099-DA preparation and filing. Unclaimed property and escheatment compliance for crypto exchanges managing customer digital assets.

Government Contractor Compliance: DCAA (Defense Contract Audit Agency) compliance support for federal contractors including accounting system audits, timekeeping system validation, and preparation for DCAA examinations. FAR (Federal Acquisition Regulation) and CAS (Cost Accounting Standards) compliance. CMMC (Cybersecurity Maturity Model Certification) readiness assessments, gap analyses, and implementation support for defense contractors. Incurred cost submissions and forward pricing rate compliance.

Cybersecurity & Risk Management: Security assessments, penetration testing, vulnerability scanning, incident response planning, and security program maturity assessments. Cybersecurity controls evaluation aligned with NIST, AICPA TSC, ISO 27001, and CMMC frameworks.

Industry-Specific Regulatory Compliance: HIPAA compliance for healthcare organizations, SOX 404 internal control compliance for public companies, ERISA compliance for employee benefit plans, and financial services regulatory compliance.

Internal Control & Assurance Services: Internal control assessments over financial reporting (ICFR), operational controls evaluation, compliance testing, and control improvement recommendations. Agreed-Upon Procedures (AUP) engagements for specialized compliance requirements including custom regulatory testing.

Compliance Program Management: Ongoing compliance operations including regulatory monitoring, policy updates, compliance training program development, regulatory audit preparation, and continuous compliance improvement. Fractional compliance officer support and compliance advisory services.

Why Choose Aprio

Aprio's compliance professionals hold certifications including CISA, CISSP, CCSFP, PCI QSA, and CFE, bringing technical expertise and regulatory knowledge across cybersecurity, data privacy, financial services, government contracting, and blockchain-specific compliance requirements. With over 70 years of experience and 10,000+ SOC reports completed, Aprio serves private equity-backed companies, technology startups, SaaS platforms, blockchain ventures, government contractors, and established enterprises across multiple regulated industries.