Engagement guide
From scoping call to signed findings pack
Audits for fintech succeed when everyone knows the calendar, the sample window, and the owners who will sit interviews. This page is the rhythm we use on every engagement.
-
1. Inquiry & fit
You send licence type, product map, and the question driving the work — examination, diligence, or board health check. We confirm whether a controls audit, operations review, safeguarding test, or readiness dry-run is the right fit.
-
2. Scoping call
A 45–60 minute conversation covering examination windows, outsourcing chains, and where evidence lives. We leave with enough detail to draft a fee quote and planning memo outline.
-
3. Planning memo
Written boundary of control themes, sample sizes, interview list, and fieldwork dates. You and counsel approve before we open samples. Changes after kickoff are recorded as memo amendments.
-
4. Fieldwork
On-site or hybrid sessions timed around settlement cut-offs. Document review runs in parallel. We escalate blockers early rather than surprising you in the draft report.
-
5. Draft findings meeting
Management reviews ranked findings before the report is final. Factual corrections are welcome; severity debates are documented when we keep a finding.
-
6. Final pack & optional board briefing
Signed report, evidence index, and — if requested — a short board session focused on remediation sequencing for your next examination or diligence milestone.
What you prepare
A single engagement contact and a readable evidence map
Name one coordinator who can pull reconciliations, policy registers, and interview calendars. Share org charts with control owners marked. If Mandarin interviews are preferred, tell us at scoping so we staff accordingly.
Choose an audit Request an audit
Common questions
Can you work entirely remotely?
Document review can be remote. For payment operations and safeguarding audits we prefer at least two on-site or video walkthrough days with the people who clear breaks — remote-only is possible for readiness document drills.
Do you replace internal audit?
No. We deliver time-boxed external engagements. Some clients use our findings to brief their internal audit plan for the following year.
How soon can fieldwork start?
Typical lead time is three to five weeks after the engagement letter, shorter for readiness audits when an examination date is fixed and document access is ready.