• How much time are you wasting requesting and chasing documents?

    Manually requesting and chasing documentary evidence to support any audit is usually a slow and painful process that can be simplified. Simply request documents, provide a rationale, send customised email links for recipients to upload and receive email notifications that the documents have been provided. Plus a full audit trail is available alongside all the evidence provided…

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Audit Checklist

What is the Audit Checklist?

Traditionally, the process for requesting and supplying documents between the audit team and the team(s) being audited can be time consuming for both sides.  The Audit Checklist feature has been designed to make this process quick and easy.

The auditor can either select the documents that they would like to review as part of the audit scope from the pre-defined list (or they can create their own customised document request template – see Settings).  To do this the audit team can select the ‘Yes’ toggle button alongside the required document and a Green + symbol will be displayed to the team being audited to upload the requested document.

Once the document has been uploaded this will create a document hyperlink which will stored as an artefact of the audit that has taken place and can be retrieved at any point in time.

The auditor has the option to provide comments on why a document was (and was not) requested as part of the audit scope and the recipient can also comment, all of which is stored in the audit trail of the Audit Checklist.

Sending requests to external users

The Audit Checklist contains a feature that allows this to be shared with external parties regardless of whether they are registered users or not.  By clicking the person symbol in the top right hand side of the screen, the auditor will be presented with the ‘Share with others’ screen which they can use to enter the email address(es) of the external parties to approach to provide supporting documents.

Once the email addresses have been added, the auditor can create a customised message and hit send.  This will send an email to the named user with a unique URL link directly to the selected Audit Checklist, within the AML/CFT Health Check, where the end user can proceed to upload documents but they will prevented from having access to any other features within the AML/CFT Health Check.

Uploading and downloading documents

When the reviewer clicks Yes against a document a green plus sign (+) will appear indicating to the responder that a document is required to be provided, which is easily done by clicking on the green plus sign and an upload file option will appear, simply locate the file and upload this and a link to the file will be available to download by any user.

Creating customised audit checklist templates

Given the diverse nature of AML/CFT Health Checks that can be undertaken within the platform we have created an Audit Checklist Template management process, where reviewers can customise an information request, specifically tailored to the audit that is being performed.

For example, an annual audit across an entire operating group may require 100 different documents to be reviewed, whereas for a quarterly audit across a small business operating team may require 10 different documents to be reviewed.  The user simply establishes the categories for documents to be requested, describes the exact nature of the document request and saves this off as a unique template, which can be selected when commencing AML/CFT Health Checks.

For more information on this feature see the General Settings page of this website.


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