Fieldwork
The rhythm of an audit engagement
A custom guide to how we move from scoping call to findings memo—written for operations and compliance leads who want fewer surprises mid-engagement.
Scoping call
We confirm products in scope, the question the audit must answer, and the event you are preparing for—examination, board review, licensing conversation, or diligence room. Out-of-scope items are named early so fees stay honest.
Document pull
You receive a precise list: settlement calendars, reconciliation reports, exception policies, sample journals, board minutes, or alert case files depending on the engagement. We do not request entire archives.
On-floor or secured remote fieldwork
Walkthroughs happen where the work lives. Settlement rooms, AML desks, and compliance cabinets. Remote sessions use agreed file shares when travel adds little value. Interviews are scheduled with the people who own the queues.
Draft findings
You review a draft for factual accuracy—dates, owners, sample references. We adjust wording; we do not dilute findings that remain true.
Final memo & briefing
The final memo arrives with severity, evidence, and suggested owners. A short leadership briefing closes the engagement. Remediation remains yours to run.
Fieldwork questions we hear often
Do you need system administrator access?
No. We work from reports, exports, and observed walkthroughs. Administrator credentials are never part of our engagement model.
Can fieldwork stay entirely remote?
Sometimes—especially for document-heavy licensing reviews. Payment operations and AML walkthroughs are stronger on site when queues and rooms tell the story faster than files alone.
Who from our side must be available?
A single operations or compliance coordinator, plus the owners of settlement, treasury, or financial crime queues for scheduled interviews. We protect their calendars; we do not occupy them all week.