Engagement path
From scoping call to closing briefing
A clear sequence for audits for fintech firms — so your compliance lead knows what happens each week.
Stages we calendar with you
Every engagement follows the same spine. Duration stretches or compresses with product count and document readiness, but the order stays stable.
- Scoping call. We confirm license type, products in scope, examination or partner-review dates, and whether fieldwork is on-site or remote.
- Document intake. You receive a request list tailored to your products. We ask for a single engagement contact and a shared folder structure.
- Kickoff. Control owners meet the lead auditor. We walk the control map and agree sample populations.
- Fieldwork. Interviews, sample testing, and observation of exception handling. Findings are logged with evidence references as we go.
- Draft findings. You review for factual accuracy — wrong owner names and outdated policy titles get corrected here.
- Final report & briefing. Ranked remediation sequence plus a 90-minute leadership briefing in person or by video.
What we ask you to prepare
- Current policies for the products in scope
- Recent internal audit or self-assessment notes, if any
- Product inventory with launch dates
- Named owners for onboarding, monitoring, disclosures, and complaints
- Access path to sample archives (not a live production tour)