Enterprise Compliance Audit

Compliance Audit Service
for Enterprises

Independent compliance audit service that uncovers hidden regulatory exposure across plants, entities, contractors, and operational locations, before regulators do.

Speak to an Expert

Six Compliance Categories · Three Levels of Government

Labour
EHS
Finance & Taxation
Secretarial
Commercial
Industry Specific
Central  ·  State  ·  Local

Are you complying with all the relevant Acts and compliances?

Do you have the right Licenses, Registrations, Permissions, and Consent Orders required for your business? Are they renewed periodically?

Are your Returns, Registers, Challans, and other statutory documents prepared and filed accurately?

Do you have the required displays, signages, safety equipment, etc. as mandated by law?

Well! The requirements for all the above can run into several thousand across laws in six Compliance Categories: Labour, environmental health and safety (EHS), Finance and taxation, Secretarial, Commercial and Industry Specific and three different Levels: Central, State and local. A Comprehensive compliance audit is the only way to find assurance.

Most enterprises discover compliance gaps only after a notice, inspection, or operational disruption.

In large manufacturing organizations, compliance ownership is distributed across plants, contractors, warehouses, and departments. Applicability interpretations vary. Documentation standards differ. Ground-level execution often does not match what leadership dashboards report.

A compliance audit service that comes with deep expertise to understand and interpret the statutory requirements helps you avoid missed filings, non-maintenance of critical documents, delays, inaccuracies, and data inconsistencies, thereby reducing Legal notices, regulatory prosecution, penalties and fines.

9899245318 [email protected]
Download brochure
“

The result is a dangerous gap between compliance reporting and compliance reality.

What Is a Comprehensive
Compliance Audit?

An enterprise-wide independent assessment of your regulatory compliance posture across entities, plants, contractors, and operational locations.

Our audit validates whether your compliance framework can withstand regulatory scrutiny, inspections, notices, and evidence verification.

The audit covers:

  • Applicability assessment across entities and locations
  • Validation of licenses, filings, approvals, registers, and statutory records
  • Contractor compliance exposure assessment
  • Evidence validation against statutory standards
  • On-ground inspection readiness assessment
  • Identification of hidden compliance gaps and inconsistent practices
  • State-specific regulatory applicability validation
  • Risk-ranked remediation reporting

What the Audit Covers

A robust compliance audit must go beyond filings and checklists. Our audit evaluates:

Licenses & registrations
Regulatory consents
Statutory filings
Registers & records
Contractor compliance
Labour law compliance
Environment, Health & Safety
Corporate & secretarial compliances
Taxation compliances
Industry-specific laws
Notices & regulatory communication
Physical infrastructure conditions
Statutory appointments
Policy implementation evidence

TeamLease RegTech Offering

Compliance Health Check Services

We offer this service periodically or on a need basis. This service aims to conduct a comprehensive As-Is Compliance Assessment of your organization. This includes:

  • Detailed Review of your Establishment & Business
  • Comprehensive assessment of applicability of Acts and Compliance
    • Acts and Compliance under Central, State, UT, Local Government
    • Industry Specific Compliance
    • Licenses, Registration, Consent Order, Permissions
  • Gap Reporting

Compliance Framework Audit

Our Compliance Framework audit services provide a holistic review of your organisation's Compliance culture, readiness and maturity. Here is what we conduct:

  • Compliance program review w.r.t coverage, applicability and correctness
  • GAP reporting of missing compliances
  • Review of performance of product's existing features
  • Product usage and identification of root cause for low product usage
  • Report of existing User mapping against the current usage profiles
  • Verification of documents uploaded in the product
  • Consulting Services for creating a comprehensive Compliance Framework

What Makes TeamLease RegTech Better!!

We combine regulatory intelligence, legal expertise, and enterprise-scale compliance capability.

Coverage Across:

1,500+ Acts & Rules
69,000+ Compliance Obligations
Central, State, and Local laws
Multi-plant and multi-state operations
Contractor Ecosystems
Industry-specific regulations

Why Enterprises Need Independent Compliance Audits

Because compliance gaps today are operational, invisible, and compounding.

Most organizations already conduct:

  • Internal audits
  • Statutory audits
  • ISO audits
  • Process reviews

But these audits do not validate enterprise-wide legal compliance.

A compliance audit is fundamentally different. It evaluates:

  • What laws actually apply
  • Whether compliances are correctly mapped
  • Whether evidence can survive regulatory scrutiny
  • Whether operational reality matches reported compliance

Scope of Work and Review Coverage

Labour
416
27,000+
1,400

Defining guidelines covering all aspects of employment like wages, employee's welfare, working environment, working days including holidays and leaves, Women employment, child labour.

EHS
61
2,000+
98

Laws covering usage of batteries, Bio medical Waste, hazardous chemicals, Solid / e-waste, building and employee safety (fire, handling of hazardous substances).

Finance & Taxation
103
9,000+
692

Laws covering direct taxes (income tax, property tax, corporate tax) and indirect taxes (GST, customs duty etc.).

Secretarial
54
2,000+
86

Secretarial cover aspects like corporate governance practice, risk management polices / practices, Board constitution and code of conduct of directors and senior management, remuneration of senior management, etc.

Commercial
102
4,000+
301

Laws covering trade and sale of goods, legal metrology, food safety and standards, electricity duty, motor vehicle regulations etc.

Industry Specific
274
12,000+
385

Laws regulating specific industries only — not applicable to others. Includes Drugs and cosmetics act, Poison act applicable to pharmaceutical industry.

Establishment Types

Organisation
Warehouse
Plants/Factories
Offices
Corporate
Regional/Branch
Sales

Assignment Approach

Compliance is a highly subjective matter. What is applicable to one business may not be applicable to another. The applicability is determined by several factors including Establishment and its Business. The first important step is to determine applicability of all Compliances for the Business. Once the scope of assessment is firmed up, TeamLease RegTech creates a team of experts and assigns it to your review. This is based on the following:

01

Business Discovery Framework

TeamLease RegTech team will work closely with your Business leaders to understand the following items:

Nature of Establishment

Plant / Factory, Office (HO, RO, BO) leading to the requirement of license, Registration, Consent orders, Permissions

Nature of Incorporation

Listed, Public limited, Private Limited, OPC, LLP

Nature of Business(s)

Manufacturing / Service

Industry / Industries

Automobile, Banking, Healthcare

Geographies of Operations

States / UTs / Municipal Corporations / Municipalities / Gram Panchayats / Zila parishads / SEZ

Staffing

Full Time Employees / Contract Staffing

Machines / Equipment

Boilers, Weighing Bridge, Gas Cylinders, Lifts and Hoists, DG Sets, diesel Storage Tanks

Market Serviced

Domestic (State / UTs / Cities), International

02

Compliance Applicability Assessment

TeamLease RegTech will analyse all the information gathered during the Business Discovery and do the following:

  • Assessment of applicable Acts & Compliances
  • Identification of all relevant and applicable Licenses, Registrations, Permissions & Consent Orders along with their validity and renewal requirements
  • Preparation of draft list of all applicable Compliances
03

Review of Statutory Documents

TeamLease RegTech will analyse all the information gathered during the Business Discovery and do the following:

  • Qualitative and Quantitative review on accuracy, timeliness and status of compliance requirement
  • Review of all applicable licenses, registrations, permissions, consent orders, registers, returns, challans, payments & remittances
  • Documentation of all observations categorized by Risk
04

Finalization of Draft Report

TeamLease RegTech team will publish a draft report to management team consisting of all the observations along with commentary of discussion with the relevant local teams.

GAP Reporting

Risk (High / Medium / Low) Location Wise (Plant / Factory) Period Wise (Monthly / Quarterly / Half Yearly / Annual) Compliance Category Wise Status Wise (Completeness Level) Timeliness Wise

Frequently Asked Questions

A compliance audit service helps validate whether your organisation's compliance practices, documentation, and on-ground operations can withstand regulatory scrutiny. It identifies hidden gaps in applicability, records, licences, and evidence before they turn into notices, penalties, or operational disruptions.

A compliance audit service helps you:

  • Identify compliance gaps early
  • Validate applicability across locations
  • Strengthen documentation and evidence
  • Improve inspection readiness
  • Reduce regulatory, operational, and reputational risks

A compliance audit benefits CFOs, Compliance Heads, Legal Teams, Internal Audit Teams, Plant Heads, HR Leaders, and business management by providing a clear view of compliance risks across entities and locations.

Our compliance audit service includes:

  • Applicability assessment
  • Review of statutory records and documentation
  • Validation of licences, registrations, and approvals
  • Compliance gap identification
  • Risk-based management reporting
  • Location-wise and category-wise analysis

Simply connect with our team to discuss your business operations, locations, and review requirements. We will define the scope, collect the required information, and initiate the audit process.

The required documents may include licences, registrations, statutory records, returns, approvals, policies, compliance evidence, and other supporting documents relevant to your operations. The exact list is shared during project initiation.

The duration depends on the size of the organisation, the number of locations, the scope of laws covered, and the complexity of operations. Most assignments are planned based on mutually agreed timelines.

Yes, certain compliance areas require physical verification of records, infrastructure, and statutory conditions, making on-site visits an important part of the compliance audit service.

Yes. A large part of the audit can be conducted remotely through document review and evidence validation. Depending on the scope, remote and on-site assessments may be combined.

You will receive a detailed Compliance Risk Assessment Report with:

  • Compliance gaps
  • Applicability observations
  • Evidence deficiencies
  • Risk classification
  • Location-wise and category-wise findings
  • Prioritised recommendations for remediation

Our compliance audit service covers a wide range of laws, including:

  • Labour
  • Corporate Secretarial
  • Taxation
  • Environment, Health & Safety
  • FEMA, FTP & Customs
  • Industry-specific laws
  • Local laws
  • Licences, registrations, and approvals

Yes. The audit can include vendor and contractor compliance reviews, including documentation, statutory obligations, and areas where principal employer responsibilities may arise.

Most organisations benefit from an annual comprehensive audit, while high-risk or rapidly expanding businesses may choose more frequent reviews based on their operational complexity.

Yes. The compliance audit service can be customised for specific plants, business units, departments, legal entities, or functional areas based on your requirements.

The audit report provides a structured and prioritised remediation roadmap with recommendations. Our team can also support organisations in understanding the findings and planning corrective actions.

We follow strict confidentiality practices and handle all business information and documents with appropriate security controls and professional standards throughout the engagement.

Our team remains available throughout the engagement to address queries, provide updates, and assist with post-audit clarifications and discussions.

Yes. Our compliance audit service is designed to support organisations operating across multiple states and locations, taking into account state-specific regulatory requirements and operational variations.

Compliance Isn't Complete Until It Has Been Tested

Audit is where compliance meets reality. Before regulators find the gaps, we help you identify them.

Schedule an Independent Compliance Audit

Get a structured assessment of your compliance exposure across entities, plants, contractors, and operational locations.

Book a Consultation
✦ NEW  ·  AI ASSISTANT