Governance & Compliance - AMOS Data Platform Documentation

Enterprise-Grade Governance for Open Source

Open source doesn’t mean ungoverned. Amos provides enterprise-grade governance frameworks that exceed traditional vendor capabilities while maintaining the flexibility and transparency that open source enables. Every change is controlled, every access is monitored, and every process is auditable.

Change Management via Pull Requests

Git-Based Change Control

All system changes flow through a structured pull request (PR) process that provides complete governance and audit trails:

Multi-Level Approval Workflows

Different types of changes require different approval levels:

Change Type	Required Approvals	Example
Configuration Updates	1 Senior Analyst + 1 Operations	Data source connection strings
Business Logic Changes	1 Portfolio Manager + 1 Compliance	NAV calculation modifications
Security Changes	1 CISO + 1 CTO	Access control modifications
Infrastructure Changes	1 DevOps Lead + 1 CTO	Deployment configuration updates

Automated Governance Checks

Every pull request triggers automated governance validation:

# Example: Automated governance pipeline
governance_pipeline:
  security_scan:
    - secret_detection
    - vulnerability_scanning
    - license_compliance
    
  compliance_checks:
    - pii_data_handling
    - data_retention_policies
    - access_control_validation
    
  business_validation:
    - calculation_accuracy_tests
    - data_quality_validation
    - performance_impact_assessment
    
  documentation_requirements:
    - change_description_required
    - business_justification_required
    - rollback_plan_documented

Least-Privilege Access Model

Role-Based Access Control (RBAC)

Amos implements comprehensive RBAC aligned with fund organizational structures:

Executive Access

Read-only access to executive dashboards and summary reports with full audit logging.

Portfolio Management

Access to investment data, performance analytics, and portfolio reporting with change approval rights.

Operations Team

System configuration access with mandatory peer review and compliance validation.

Compliance Team

Audit access to all systems with read-only permissions and comprehensive logging.

Dynamic Access Controls

Access permissions are dynamically managed based on context and risk:

# Example: Dynamic access policy
access_policy:
  user: "[email protected]"
  base_permissions:
    - read_portfolio_data
    - create_analysis_reports
    
  conditional_permissions:
    - permission: "modify_nav_calculations"
      conditions:
        - time_window: "business_hours"
        - approval_required: true
        - dual_control: true
        
    - permission: "access_investor_pii"
      conditions:
        - business_justification: required
        - time_limited: "4_hours"
        - audit_notification: "compliance_team"

Identity Integration

Seamless integration with existing identity management systems:

Active Directory/LDAP: Automatic user provisioning and group synchronization
SAML/OIDC: Single sign-on with multi-factor authentication
Privileged Access Management: Integration with PAM solutions for elevated access
Just-in-Time Access: Temporary elevated permissions with automatic expiration

SOC 2 & ISO 27001 Mapping

SOC 2 Type II Compliance Framework

Amos governance directly supports SOC 2 compliance across all trust service criteria:

Security (CC6)

Control	Amos Implementation	Evidence
Logical Access Controls	RBAC with MFA and session management	Access logs, permission matrices
Network Security	VPC isolation, security groups, encryption	Network configurations, traffic logs
Data Protection	Encryption at rest/transit, key management	Encryption evidence, key rotation logs

Availability (CC7)

Control	Amos Implementation	Evidence
System Monitoring	Real-time monitoring with alerting	Monitoring dashboards, incident logs
Backup & Recovery	Automated backups with tested recovery	Backup logs, recovery test results
Capacity Management	Auto-scaling with performance monitoring	Capacity reports, scaling events

Processing Integrity (CC8)

Control	Amos Implementation	Evidence
Data Processing Controls	Automated validation and reconciliation	Processing logs, validation results
Change Management	PR-based changes with testing	Git history, test results
Error Handling	Comprehensive error logging and alerting	Error logs, resolution tracking

ISO 27001 Information Security Management

Amos aligns with ISO 27001 requirements through systematic security controls:

Secure SDLC Practices

Security-First Development

Every aspect of Amos development follows secure SDLC principles:

Code Security

Static Analysis: Automated code scanning for vulnerabilities
Dependency Scanning: Regular updates and vulnerability assessment
Secret Management: No hardcoded secrets, encrypted configuration
Code Signing: Digital signatures for all code commits

Infrastructure Security

Infrastructure as Code: All infrastructure defined in version-controlled code
Security Baselines: Hardened base images and configurations
Network Segmentation: Micro-segmentation with zero-trust principles
Encryption Everywhere: End-to-end encryption for data and communications

Continuous Security Monitoring

Real-time security monitoring and response:

# Example: Security monitoring configuration
security_monitoring:
  threat_detection:
    - unusual_access_patterns
    - privilege_escalation_attempts
    - data_exfiltration_indicators
    - configuration_drift_detection
    
  automated_response:
    - account_lockout_on_suspicious_activity
    - network_isolation_on_threat_detection
    - incident_escalation_to_security_team
    - evidence_preservation_for_investigation
    
  compliance_monitoring:
    - access_control_violations
    - data_handling_policy_violations
    - change_management_bypasses
    - audit_log_integrity_checks

Contribution Model & Client Autonomy

Open Source Contribution Framework

Clients can contribute to and extend Amos while maintaining governance:

Private Extensions

Develop fund-specific features in private repositories with full control over intellectual property.

Community Contributions

Contribute generic improvements back to the community while maintaining competitive advantages.

Custom Connectors

Build proprietary system connectors with standardized interfaces and governance controls.

Governance Oversight

Maintain oversight of all changes through established review and approval processes.

Escalation Model

Clear escalation paths for different types of issues and changes:

Technical Issues

Level 1: Internal team resolution with documentation
Level 2: Amos community support and knowledge base
Level 3: Amos engineering team consultation
Level 4: Emergency support with SLA guarantees

Governance Issues

Policy Questions: Internal compliance team review
Regulatory Concerns: Legal and compliance escalation
Security Incidents: CISO and security team involvement
Audit Findings: Executive leadership and board notification

Recommended Branching Strategy

Structured branching strategy that supports governance while enabling innovation:

Compliance Automation

Automated Compliance Reporting

Amos automatically generates compliance reports and evidence:

# Example: Automated compliance report generation
def generate_compliance_report(period, framework):
    """Generate compliance evidence package"""
    
    evidence = {
        'access_controls': collect_access_evidence(period),
        'change_management': collect_change_evidence(period),
        'data_processing': collect_processing_evidence(period),
        'security_controls': collect_security_evidence(period),
        'audit_trails': collect_audit_evidence(period)
    }
    
    report = ComplianceReport(
        framework=framework,  # SOC2, ISO27001, etc.
        period=period,
        evidence=evidence,
        attestations=collect_attestations()
    )
    
    return report.generate_package()

Continuous Compliance Monitoring

Real-time compliance posture monitoring:

Compliance Area	Monitoring Frequency	Alert Threshold	Remediation SLA
Access Controls	Real-time	Any violation	15 minutes
Data Quality	Every pipeline run	>1% degradation	1 hour
Change Management	Every commit	Unapproved changes	Immediate
Security Controls	Continuous	Any security event	5 minutes

Implementation Roadmap

Phase 1: Foundation (Months 1-3)

Implement basic RBAC and access controls
Establish PR-based change management
Set up audit logging and monitoring
Configure compliance reporting

Phase 2: Enhancement (Months 3-6)

Implement advanced security controls
Establish automated compliance monitoring
Integrate with existing identity systems
Develop custom governance policies

Phase 3: Optimization (Months 6-12)

Fine-tune access controls and policies
Implement advanced threat detection
Establish continuous compliance monitoring
Optimize governance workflows

Success Metrics

Track governance effectiveness through key metrics:

Access Control Effectiveness: Zero unauthorized access incidents
Change Management Compliance: 100% of changes follow PR process
Audit Readiness: < 24 hours to produce compliance evidence
Security Posture: Zero critical security findings
Compliance Score: >95% automated compliance validation

Next Steps

Open Source Assurance Overview

Return to the open source assurance overview for a complete picture

Implementation Planning

Start planning your governance-ready Amos deployment

Change Management

Learn how governance integrates with the Adapt → Align → Upgrade methodology

Ready to implement enterprise-grade governance for your open source data platform? Contact our team to discuss your specific governance and compliance requirements.

Getting Started

Integration

Use Cases & Applications

Change Management

Open Source Assurance

AI Readiness & Enablement

Success Stories

​Enterprise-Grade Governance for Open Source

​Change Management via Pull Requests

​Git-Based Change Control

​Multi-Level Approval Workflows

​Automated Governance Checks

​Least-Privilege Access Model

​Role-Based Access Control (RBAC)

Executive Access

Portfolio Management

Operations Team

Compliance Team

​Dynamic Access Controls

​Identity Integration

​SOC 2 & ISO 27001 Mapping

​SOC 2 Type II Compliance Framework

​Security (CC6)

​Availability (CC7)

​Processing Integrity (CC8)

​ISO 27001 Information Security Management

​Secure SDLC Practices

​Security-First Development

​Code Security

​Infrastructure Security

​Continuous Security Monitoring

​Contribution Model & Client Autonomy

​Open Source Contribution Framework

Private Extensions

Community Contributions

Custom Connectors

Governance Oversight

​Escalation Model

​Technical Issues

​Governance Issues

​Recommended Branching Strategy

​Compliance Automation

​Automated Compliance Reporting

​Continuous Compliance Monitoring

​Implementation Roadmap

​Phase 1: Foundation (Months 1-3)

​Phase 2: Enhancement (Months 3-6)

​Phase 3: Optimization (Months 6-12)

​Success Metrics

​Next Steps

Open Source Assurance Overview

Implementation Planning

Change Management

Enterprise-Grade Governance for Open Source

Change Management via Pull Requests

Git-Based Change Control

Multi-Level Approval Workflows

Automated Governance Checks

Least-Privilege Access Model

Role-Based Access Control (RBAC)

Dynamic Access Controls

Identity Integration

SOC 2 & ISO 27001 Mapping

SOC 2 Type II Compliance Framework

Security (CC6)

Availability (CC7)

Processing Integrity (CC8)

ISO 27001 Information Security Management

Secure SDLC Practices

Security-First Development

Code Security

Infrastructure Security

Continuous Security Monitoring

Contribution Model & Client Autonomy

Open Source Contribution Framework

Escalation Model

Technical Issues

Governance Issues

Recommended Branching Strategy

Compliance Automation

Automated Compliance Reporting

Continuous Compliance Monitoring

Implementation Roadmap

Phase 1: Foundation (Months 1-3)

Phase 2: Enhancement (Months 3-6)

Phase 3: Optimization (Months 6-12)

Success Metrics

Next Steps