AI workflows for audit and controls.

Testing that financial controls work and preparing evidence for internal and external audits.

Who does this work

  • Internal auditor
  • Internal controls manager
  • Audit manager

1 workflow template ready to adapt, and 5 workflows identified.

Updated

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Examples of the workflows identified
  1. Track audit or examination requests to their evidence
  2. Draft a control test workpaperIllustrative
  3. Draft the risk and control matrix for a finance processIllustrative
  4. Find segregation of duties conflicts in finance system accessIllustrative
  5. Screen journal entries for unusual patternsIllustrative

The workflows identified

Marked illustrative: an example of the work, identified, with no workflow template yet.

Track audit or examination requests to their evidenceGives the audit lead a request-by-request tracker for a financial, quality or regulatory audit or examination: each request linked to the document that answers it, with owner, version, status and what is still missing.Workflow template
Draft a control test workpaperGives the reviewer a workpaper linking the test objective, population, sample, evidence of approval and exceptions.Illustrative · not built yet
Draft the risk and control matrix for a finance processSets out a finance process step by step with what could go wrong at each step, the control that prevents or catches it, its owner and frequency, and the gaps.Illustrative · not built yet
Find segregation of duties conflicts in finance system accessCompares finance system roles with the conflict rules, such as creating a supplier and approving its payment, and lists people holding conflicting rights with compensating controls to confirm.Illustrative · not built yet
Screen journal entries for unusual patternsScreens a period's journal entries for weekend or late postings, round amounts, unusual accounts or users and entries with no support, as a list for the controller to review.Illustrative · not built yet

Workflow templates

Audit preparationBefore the external auditors arrive, your controller holds one audit pack: every request with its owner, date, document and status, the control evidence they will test, last year's findings and what was done, and draft answers to the questions they will ask. People approve everything before it goes.Workflow template

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Where to go next

All of finance and accountingEvery area of the function, with workflow templates and examples.Map your team in the PlannerPut this work in your plan, with the roles that do it.

Other areas of finance and accounting

Finance and accounting workflow templates by industry