Compliance and risk · Live demo
Audit evidence requests to process owners
Contacts process owners about open audit evidence requests, explains exactly what is needed and tracks every item until it's uploaded.
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Brackenfield Advisory is made up. Max is a real agent, set up the way we would set one up for your team. Talk or type and ask what your staff would ask.
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The problem
During an audit, the compliance team spends weeks chasing busy managers for sign-offs, reports and tickets. Requests get misunderstood, evidence arrives late, and fieldwork runs over.
How it works
- Reads the open requests, owners and due dates from the audit tracker
- Calls or emails each owner with a plain explanation of what the auditor needs
- Sends a checklist and the link to the right evidence folder
- Records answers and new dates, and reminds owners as deadlines approach
- Flags gaps to the compliance lead before the auditors find them
What it connects to
- AgentHi Tomás, it's Max from risk and compliance. The SOC 2 auditors need evidence for request AR-118, the quarterly user access review for the managed payroll platform. It's due Thursday.
- Tomás (IT operations manager)I did that review in September. What exactly do they need?
- AgentThree things: the signed Q3 review, the user list it covered, and the tickets for the seven users removed. Fieldwork closes on the 17th, so Thursday keeps us on schedule.
- Tomás (IT operations manager)The sign-off is on the IT drive. I'm not sure all the removal tickets were closed.
- AgentUpload what you have to the AR-118 folder and list any open tickets in the note. I'll flag those to Imogen Hale so she can raise them with the auditors first. The checklist is on its way by email.
Illustrative conversation. Names, numbers and details are made up.
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