How we work
An engagement path built for fintech close reality
This page describes how a Full Ledger Controls Audit typically progresses. Narrower engagements compress the same stages; they do not invent a different philosophy.
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Scoping conversation
We confirm entities, product rails, reporting period, and the decision the findings must support — board pack, bank onboarding, or diligence. Out-of-scope items are written down early so they do not reappear as silent expectations.
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Document room intake
You provide chart extracts, reconciliation packs, processor reports, and a product map. We request only what the sample plan needs; sprawling data dumps slow both sides.
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Field testing and interviews
Samples are traced from customer event to settlement. Control owners walk us through exception handling. Gaps are logged with evidence references as we go.
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Findings draft
Issues arrive in operational language with severity, owner implication, and a suggested next action. Management response slots are included so your team can answer in the same document.
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Close-out briefing
We present the final pack, agree remediation order, and leave a clean trail for whoever inherits the work — internal audit, counsel, or the next reviewer.
What you prepare
A short readiness list
- Named finance contact with authority to open the document room
- List of product rails that touch customer funds
- Last two closed reconciliation packs for key settlement accounts
- Any questionnaire or diligence deadline already on the calendar
Match this path to an engagement
Browse the full set of reviews, or send a brief if you already know the period and entity.