Audit Readiness and Financial Controls for Regulated Organizations

We prepare organizations for regulatory examinations, build internal controls over compliance and financial reporting, and provide financial-operations consulting. The work is led by a CPA with audit, operating, and examination experience.

Regulatory Exam Preparation

We run mock examinations that mirror the scope and methodology of regulatory exams, including document requests, staff interviews, testing procedures, and findings reports. This process identifies deficiencies before an examination begins. We also build remediation plans for prior findings, coordinate with independent auditors, and prepare teams for document requests and on-site inquiries.

Financial Operations & Regulatory Reporting

We support financial reporting, close procedures, reconciliations, regulatory submissions, and audit coordination. The work includes documented review steps, source-data controls, and clear ownership of each filing. For broker-dealers, services can include outsourced or advisory FINOP support, FOCUS reporting, net capital monitoring, and customer-reserve calculations.

Internal Controls & Financial Reporting

We design, implement, and test controls over compliance and financial reporting. The work includes control-environment assessments, segregation-of-duties reviews, control mapping, material-weakness remediation, and supporting documentation. The framework is selected according to the organization's reporting and assurance obligations.

Control Testing & Annual Reviews

We build annual testing programs with documented methodologies, risk-based sampling, exception reporting, and remediation tracking. Review results are assigned to responsible owners and reported to management. We also support required certifications, governance reviews, and staff training.

Books, Records & Retention

We assess books-and-records programs, retention schedules, electronic recordkeeping, communication capture, and third-party recordkeeping oversight. Testing confirms that required records can be produced, traced to their source, and retained for the applicable period.

SOC Readiness & AML Reviews

We support SOC 1 and SOC 2 readiness, control implementation, trust-services scoping, and examination support. We also conduct independent AML testing, including program assessments, transaction-monitoring review, SAR quality review, and CDD/KYC evaluation where applicable.

Audit & Control Frameworks

ICFRFinancial reporting
SOC 1 / SOC 2Trust services
AMLIndependent testing

Sector Examples

Broker-dealersFINOP / ICOC
Public CompaniesSOX / ICFR
Service OrganizationsSOC reporting
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Core readiness areas reviewed together: controls, reporting, records, and remediation.

Audit readiness framework