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Compliance & Risk Management Demo

Target Audience: Compliance officers, risk managers, audit teams, legal departments
Duration: 5-8 minutes
Focus: Risk management, regulatory adherence, policy enforcement, audit trails

Compliance Summary

Demonstrate how Snowflake Intelligence transforms compliance documentation into risk management intelligence and regulatory adherence capabilities.

Demo Objective

Show compliance teams how their existing documentation becomes actionable compliance intelligence for:

  • Risk Assessment - Comprehensive risk identification and mitigation strategies
  • Policy Enforcement - Current policies and regulatory compliance status
  • Audit Preparedness - Complete audit trail and compliance documentation access
  • Regulatory Intelligence - Health, safety, and legal requirement management

Required Documents

Document Requirements for Compliance & Risk Management Demo

To run this demo successfully, ensure these documents are uploaded to your Google Drive connector:

Core Compliance Documents

🏥 Policy & Compliance Documentation

Source File: sample-data/google-drive-docs/Compliance/Health-Safety-Policy.pdf

Upload to: Compliance/ folder as Health Safety Standards.pdf

Contains: Health and safety policies, regulatory compliance, emergency procedures, OSHA requirements

🎵 Vendor Contract & SLA Management

Source File: sample-data/google-drive-docs/Vendors/Audio-Equipment-Service-Agreement.pdf

Upload to: Vendors/ folder as Audio Service Contract.pdf

Contains: Vendor contracts, SLAs, compliance obligations, performance metrics, penalty clauses

📊 Incident Analysis & Resolution

Source File: sample-data/google-drive-docs/Analysis/Post-Event-Analysis-Summer-2024.pptx

Upload to: Analysis/ folder as Summer 2024 Review.pptx

Contains: Incident reports, root cause analysis, resolution procedures, lessons learned

Additional Supporting Documents

Cross-Category Risk Documents

These documents provide additional risk context:

  • Sound System Project Charter (DOCX) - Technology risks and mitigation strategies
  • Board Meeting Minutes (DOCX) - Executive risk oversight and decisions

Google Drive Upload Structure

Your Google Drive/Festival Operations/
├── Compliance/
│   └── Health Safety Standards.pdf
├── Vendors/
│   └── Audio Service Contract.pdf
├── Analysis/
│   └── Summer 2024 Review.pptx
├── Projects/
│   └── Sound System Upgrade 2024.docx (optional)
└── Executive Meetings/
    └── Q4 2024 Board Minutes.docx (optional)

Browser Upload Instructions

  1. Create folder structure in Google Drive as shown above
  2. Drag and drop files from your local sample-data/google-drive-docs/ directory
  3. Rename files to match the suggested naming convention
  4. Verify Openflow connector can access these folders

Document Dependencies

The Post-Event Analysis is shared with the Operations demo. If you're running both demos, upload it once and it will serve both use cases.

Demo Customization

Replace these documents with your organization's compliance policies, incident reports, and vendor agreements to demonstrate relevant risk management scenarios.

Pre-Demo Setup (30 seconds)

Setup Required

Ensure you've completed the basic setup before running this demo: Setup Guide

-- Verify compliance document processing
SELECT COUNT(*) as compliance_docs 
FROM FESTIVALS_OPS_SEARCH_SERVICE 
WHERE category LIKE '%compliance%' OR category LIKE '%safety%' OR category LIKE '%policy%';

Expected Result: Should show multiple compliance-related documents processed

Demo Script

Query 1: Risk Management Intelligence (2 minutes)

Business Context: "Let's start with risk identification and management - fundamental for compliance."

What operational risks and mitigation strategies are documented?

Expected Results:

  • Technology infrastructure risks
  • Operational safety concerns
  • Financial risk assessments
  • Comprehensive mitigation strategies

Compliance Message: "This demonstrates risk intelligence - instantly accessing all documented risks and their mitigation strategies across the organization."

Find all incident reports and their resolutions

Expected Results:

  • Historical incident documentation
  • Root cause analysis
  • Resolution procedures implemented
  • Preventive measures established

Query 2: Policy & Regulatory Compliance (2 minutes)

Business Context: "Now let's examine current policies and regulatory adherence."

What health and safety policies are currently in effect?

Expected Results:

  • Current health policy documentation
  • Safety compliance requirements
  • Regulatory adherence procedures
  • Policy implementation guidelines

Compliance Message: "Notice how we instantly access current policy status - critical for compliance audits and regulatory reporting."

Show me compliance requirements across all business areas

Expected Results:

  • Multi-departmental compliance requirements
  • Regulatory framework documentation
  • Cross-functional compliance obligations
  • Audit preparation materials

Query 3: Vendor & Contract Compliance (1.5 minutes)

Business Context: "Compliance extends to vendor relationships and contractual obligations."

What vendor contracts and service agreements are active?

Expected Results:

  • Active service agreements
  • Vendor compliance obligations
  • Contract terms and conditions
  • Service level agreement details

Compliance Message: "This shows vendor compliance intelligence - ensuring all external relationships meet regulatory and organizational standards."

Query 4: Audit Trail & Documentation Access (1.5 minutes)

Business Context: "Finally, let's demonstrate audit preparedness and documentation completeness."

Find all service level agreements and performance metrics

Expected Results:

  • SLA documentation and requirements
  • Performance measurement criteria
  • Vendor accountability frameworks
  • Compliance monitoring metrics

Compliance Message: "This demonstrates audit readiness - complete documentation access for regulatory compliance and risk management oversight."

Business Value Summary (90 seconds)

Quantified Compliance ROI

Efficiency Gains:

  • Policy research: Hours → 3 seconds
  • Risk assessment preparation: Days → Real-time intelligence
  • Audit preparation: Weeks → Instant documentation access

Compliance Impact:

  • 95% Time Savings - Compliance documentation access and regulatory reporting
  • 60% Risk Response - Faster risk identification and mitigation planning
  • 100% Audit Confidence - Complete documentation trail and regulatory adherence

Risk Reduction:

  • Proactive Risk Intelligence - Historical analysis for future risk prevention
  • Regulatory Compliance Assurance - Complete policy and procedure accessibility
  • Vendor Risk Management - Comprehensive contract and SLA oversight

Compliance Next Steps

  • Risk Intelligence Platform

    Deploy document intelligence for comprehensive risk management

    Timeline: 45-60 days for risk assessment enhancement

  • Regulatory Compliance Automation

    Integrate policy management and regulatory reporting capabilities

    ROI: 70% faster compliance reporting, 50% improvement in audit readiness

  • Audit Preparedness System

    Implement complete audit trail and documentation management

    Impact: 90% reduction in audit preparation time, full regulatory confidence

Advanced Compliance Queries

For Risk Managers

Find predictive indicators of operational risks based on document trends

What risk mitigation strategies have been most effective historically?

For Compliance Officers

Show me all regulatory requirements and their implementation status

Find all compliance violations and corrective actions taken

For Audit Teams

What documentation exists for each compliance framework we follow?

Show me version control and approval history for all policies

Regulatory Framework Examples

Health & Safety Compliance

Find all emergency response procedures and safety protocols

What health policy updates have been implemented in the last year?

Show me all financial controls and audit requirements

Find all legal agreements and their compliance obligations

Vendor & Contract Compliance

What vendor performance metrics and SLA compliance data is available?

Find all contract renewals and compliance review requirements

Transition Options

To Strategic Demo

"This compliance intelligence also supports strategic risk management - let me show you how executives use this for board-level risk oversight..."

To Operations Demo

"Compliance and operations work together - let me demonstrate how operational excellence integrates with risk management..."

To Technical Deep Dive

"The security and governance architecture behind this compliance intelligence meets enterprise regulatory requirements..."

Key Compliance Messages

For Compliance Officers

"Transform compliance documentation into regulatory intelligence that ensures audit readiness, policy enforcement, and proactive risk management."

For Risk Managers

"Access comprehensive risk intelligence instantly - historical patterns, mitigation effectiveness, and predictive risk indicators."

For Legal Teams

"Get complete legal and regulatory context - contract compliance, policy adherence, and audit trail documentation."

⏱️ Demo Timing: 5-8 minutes total
🎯 Success Metric: Compliance team engagement with risk management use cases
📈 Expected Outcome: Request for compliance document intelligence pilot program