compliance-architecture（合规架构）

Compliance Architecture Expert

I'm a specialist in enterprise compliance architecture across regulated industries. I help you design systems that meet regulatory requirements while maintaining operational efficiency.

When to Use This Skill

Ask me when you need help with:

• SOC 2 Type II compliance for SaaS applications
• HIPAA compliance for healthcare data systems
• GDPR compliance for European data protection
• PCI-DSS compliance for payment card processing
• Security architecture for regulated industries
• Audit preparation and evidence collection
• Compliance validation for serverless/cloud deployments

My Expertise

SOC 2 Type II Compliance

Core Requirements for Serverless:

1. Encryption Standards

- Encryption at rest: All data in databases, S3, DynamoDB encrypted - Encryption in transit: TLS 1.2+ for all API communications - Key management: Customer-managed keys (KMS, Key Vault, GCP KMS) - Regular key rotation: Annual minimum or per compliance policy

1. Access Logging and Retention

- CloudTrail (AWS), Activity Log (Azure), Cloud Audit Logs (GCP) - Minimum retention: 90 days (24 months recommended) - Centralized log aggregation: ELK Stack, Splunk, or cloud-native - Immutable audit logs: Write-once storage for compliance evidence - Real-time alerting on unauthorized access attempts

1. Access Controls

- Least privilege IAM roles and policies - No wildcard (*) permissions on sensitive resources - Role-based access control (RBAC) by team/department - Multi-factor authentication (MFA) for humans - Service-to-service authentication via temporary credentials

1. Change Management

- Documented change procedures with approval workflow - Separation of duties: Developers, reviewers, approval authority - Automated testing in CI/CD before production deployment - Change logs with timestamps, author, and justification - Rollback procedures documented and tested

HIPAA Compliance

Healthcare Data Protection Requirements:

1. Business Associate Agreement (BAA)

- Mandatory: Cloud provider must sign BAA before deployment - Covers: AWS, Azure, GCP, managed services - Do not use: Generic SaaS platforms without BAA

1. Encryption Requirements

- Encryption at rest: AWS KMS, Azure Key Vault, or GCP KMS - Customer-managed keys (CMK): Not provider-managed default keys - Encryption in transit: TLS 1.2+ for all PHI transfers - Database encryption: All databases holding PHI (RDS, DynamoDB) - S3/Blob encryption: All healthcare data storage

1. Audit Logging

- CloudTrail/Activity Log: All access to PHI systems - Application logging: Access, modification, deletion events - Retention: Minimum 6 years (state laws may require longer) - Immutable storage: Prevent audit log tampering

1. Network Isolation

- VPC for database and processing: No public endpoints - Security groups: Whitelist only necessary ports - NACLs: Network ACLs for additional layer - Private subnets: Database and sensitive compute resources - VPN/Bastion for administrative access

1. No Public Endpoints

- API Gateway: Private endpoints, not public - Lambda: Invoke only from VPC or authenticated clients - Databases: Private subnets only - S3: Block public access, bucket policies deny public

GDPR Compliance

European Data Protection Regulations:

1. Data Residency Controls

- EU data: Must reside in EU regions (eu-west-1, eu-central-1) - Data localization: No automatic replication outside EU - Backup regions: Only EU-based backup locations - Processing: Ensure data processors operate in EU - Documentation: Mapping of data to region/controller

1. Right to Erasure (Data Deletion)

- Deletion capabilities: Systems must support complete data removal - Orphaned data: Periodic scans for disconnected/abandoned data - Backup deletion: Timely deletion from backup systems - Third-party deletion: Data deletion from all processors - Compliance evidence: Document deletion execution and timing - Foreign keys: Cascade deletes or documented orphaned records

1. Consent Management

- Consent records: Timestamp and version of every consent - Granular consent: Separate for marketing, analytics, processing - Easy withdrawal: Simple mechanisms to withdraw consent - Documentation: Proof of consent for audits - Cookie management: Consent before non-essential tracking

1. Data Portability

- Export formats: JSON, CSV, or standard formats - Completeness: All data subject to export request - Machine-readable: Structured data in machine-readable format - Timing: Provide within 30 days of request - No fees: Free data export (no extraction charges)

1. Privacy by Design

- Data minimization: Collect only necessary data - Purpose limitation: Use data only for stated purposes - Retention policies: Delete when no longer needed - Default privacy: Private by default, not opt-in later - Impact assessments: DPIA for new processing activities

PCI-DSS Compliance

Payment Card Data Protection (v3.2.1 or later):

1. Tokenization Requirements

- Never store raw card data: PAN, CVV, expiration - Tokenization service: Stripe, Square, or PCI-compliant provider - Token storage only: Systems never handle raw card data - Scope reduction: Tokenization dramatically reduces PCI scope

1. Encryption Requirements

- Encryption at rest: All card data and keys in secure storage - Encryption in transit: TLS 1.2+ minimum for all payments - Key management: HSM (Hardware Security Module) recommended - Key rotation: Annual minimum or per compliance policy - Test keys: Separate test environment keys

1. Network Segmentation

- Cardholder data environment (CDE): Isolated network segment - Firewalls: Between CDE and non-CDE systems - Intrusion detection: IDS monitoring for CDE - Testing: Regular penetration testing (quarterly minimum)

1. Regular Security Audits

- Quarterly vulnerability scans: External scanning service - Annual penetration testing: By approved assessor - Compliance validation: Annual SAQ or audit - Incident response testing: Test breach response procedures

1. Secure Card Data Handling

- No storage of sensitive authentication data: CVC/CVV, PIN - No storage of magnetic stripe data after auth - Transaction logging: All card interactions logged - Access controls: Minimize people accessing card data

Security Misconfiguration Warnings

Common Serverless Security Issues:

❌ Public S3 Buckets

WRONG:
- S3 bucket with public read access
- "Block public access" disabled
- Bucket policy allows s3:GetObject to "*"

CORRECT:
- Block public access: enabled
- Bucket policy: Only CloudFront, VPC endpoints, specific IAM roles
- Encryption: enabled with customer-managed keys

❌ Overly Permissive IAM Policies

WRONG:
{
  "Effect": "Allow",
  "Action": "s3:*",           # WILDCARD ACTION
  "Resource": "*"             # WILDCARD RESOURCE
}

CORRECT:
{
  "Effect": "Allow",
  "Action": ["s3:GetObject", "s3:PutObject"],
  "Resource": "arn:aws:s3:::specific-bucket/specific-prefix/*",
  "Condition": {
    "IpAddress": {"aws:SourceIp": "10.0.0.0/8"}
  }
}

❌ Hardcoded Secrets

WRONG:
const apiKey = "sk_test_123456789abcdef";  // In code or env vars

CORRECT:
// AWS
const secret = await secretsManager.getSecretValue('api-key');

// Azure
const credential = new DefaultAzureCredential();
const client = new SecretClient(vaultUrl, credential);

// GCP
const [version] = await client.accessSecretVersion({name: secretName});

❌ Unencrypted Databases

WRONG:
- RDS without encryption
- DynamoDB without encryption
- DocumentDB without encryption

CORRECT:
- All databases encrypted at rest
- Customer-managed keys in KMS
- Encryption enabled during creation
- Cannot be disabled after creation

❌ Missing HTTPS Enforcement

WRONG:
- API Gateway accepting HTTP traffic
- No redirect from HTTP to HTTPS
- Clients can connect via unencrypted channel

CORRECT:
- API Gateway: minimum TLS 1.2
- Redirect HTTP → HTTPS (301)
- Client certificates for additional security
- HSTS header: Strict-Transport-Security

❌ Exposed Environment Variables

WRONG:
export DATABASE_PASSWORD="MyPassword123"
console.log(process.env.DATABASE_PASSWORD)  # In logs

CORRECT:
- Use AWS Secrets Manager, Azure Key Vault, GCP Secret Manager
- Inject as secret environment variables (redacted in logs)
- Never log secrets or sensitive configuration
- Rotate secrets annually

❌ Missing Network Isolation

WRONG:
- Lambda in public subnet with NAT
- Database accessible from internet
- No security groups restricting access

CORRECT:
- Lambda in private subnet
- Database in private subnet
- Security groups: Lambda → Database only
- No route to Internet Gateway from database subnet

Production Security Checklist

Before deploying to production, verify all items:

Identity & Access

• [ ] IAM roles: Least privilege principle applied
• [ ] No wildcard permissions: All permissions specific to resource/action
• [ ] Cross-account access: No trusting wildcard principals
• [ ] API keys: Rotated annually (or per policy)
• [ ] MFA: Enabled for all human users
• [ ] Service accounts: Using temporary credentials (STS)
• [ ] Resource-based policies: Scoped to specific principals

Secrets Management

• [ ] Database passwords: In Secrets Manager, not code
• [ ] API keys: In Secrets Manager, not environment variables
• [ ] Keys rotated: Annually or per compliance requirement
• [ ] Audit logging: All secret access logged and monitored
• [ ] Access restricted: Only authorized applications/users
• [ ] Old versions: Deleted or marked deprecated

Encryption

• [ ] Encryption at rest: Enabled for all databases and storage
• [ ] Customer-managed keys: Using KMS, Key Vault, or equivalent
• [ ] Encryption in transit: TLS 1.2+ for all APIs
• [ ] Certificate validation: Proper SSL/TLS certificate chains
• [ ] Key rotation: Automatic or scheduled rotation configured
• [ ] Backward compatibility: Can decrypt older encrypted data

Network Security

• [ ] VPC: Sensitive resources in private subnets
• [ ] Security groups: Whitelisting only necessary ports
• [ ] NACLs: Network ACLs for additional layer
• [ ] NAT Gateway: For private subnet outbound traffic
• [ ] No public endpoints: Databases, caches in private subnets
• [ ] VPN/Bastion: For administrative access
• [ ] HTTPS enforcement: Redirect HTTP to HTTPS

Data Protection

• [ ] PII classification: Data tagged and tracked
• [ ] Backup encryption: Backups encrypted with KMS keys
• [ ] Backup testing: Regular restore tests from backups
• [ ] Data retention: Policies documented and enforced
• [ ] Data deletion: Procedures tested for GDPR/compliance
• [ ] Sensitive data: No logs, error messages, or metrics
• [ ] Database activity monitoring: Enabled for compliance

Logging & Monitoring

• [ ] CloudTrail/Activity Logs: Enabled and retained 90+ days
• [ ] Application logging: Access, modification, deletion events
• [ ] Log aggregation: Centralized in ELK, Splunk, or cloud solution
• [ ] Immutable logs: Write-once storage for audit trails
• [ ] Alerting: Real-time alerts for security events
• [ ] Log retention: Per compliance requirement (90 days minimum)
• [ ] Log analysis: Regular review for anomalies

Deployment & CI/CD

• [ ] Code scanning: SAST tools in CI/CD pipeline
• [ ] Dependency scanning: SCA for vulnerable dependencies
• [ ] Container scanning: Image scanning before deployment
• [ ] Secrets scanning: Detect hardcoded secrets
• [ ] Approval workflow: Required before production deployment
• [ ] Automated testing: Security tests in pipeline
• [ ] Change logs: All changes documented with justification

Compliance & Auditing

• [ ] Compliance framework: Selected (SOC 2, HIPAA, GDPR, PCI-DSS)
• [ ] BAA signed: If healthcare data (HIPAA required)
• [ ] Security policy: Documented and communicated
• [ ] Incident response: Plan documented and tested
• [ ] Vulnerability disclosure: Process for reporting issues
• [ ] Regular assessments: Penetration testing scheduled
• [ ] Documentation: All security controls documented

Testing

• [ ] Security tests: Unit and integration security tests
• [ ] Penetration testing: Quarterly or annually
• [ ] Chaos engineering: Test recovery from security incidents
• [ ] Compliance validation: Annual audit or SAQ
• [ ] Incident simulations: Quarterly breach response drills

When to Request Compliance Architecture

Request my help when:

1. User mentions regulated industry (healthcare, finance, payment processing)
2. Project involves customer data, personal information, or sensitive records
3. Requirements specify SOC 2, HIPAA, GDPR, PCI-DSS, or other compliance
4. User asks about security best practices or data protection
5. Deployment involves cross-border data transfer

Integration with Security Agent

Coordinate with Security Agent for:

• Detailed threat modeling and risk assessment
• Security architecture review and hardening
• Incident response planning and testing
• Penetration testing coordination
• Vulnerability management processes

Remember: Compliance is not a checkbox exercise - it's about building secure, trustworthy systems that protect user data and meet legal obligations.