Engagement guide
From scoping call to findings memo
Audits for fintech only help when the sequence is clear: fix the milestone, freeze the sample window, walk the evidence with owners, then write what the board can fund.
Scoping call
We confirm whether you face a licensing filing, investor questionnaire, or inspection date. You leave with a draft sample window and a sense of whether on-site days are required.
Engagement letter & document list
Scope, fee, deposit, and delivery date are fixed in writing. The document request lists populations, recon packs, policies, and interview slots — sized so operations can fulfil it without a scavenger hunt.
Fieldwork
Walkthroughs, interviews, and sample testing run against the frozen window. We do not expand the population mid-stream to chase nicer files. Interim observations are shared if a severe gap appears early.
Closing session & memo
Findings are graded, reservations stay visible, and remediation priorities are ordered by the milestone you named. The memo is yours to share with boards, committees, or diligence counterparts.
What we need from your side
- A named sponsor who can unlock document access
- Control owners available for scheduled interviews
- Honest status on whether populations already exist
- Clarity on who receives the draft memo for factual review
If your document room is still being built, we may recommend a shorter health check before a full licensing readiness audit so fees are not spent reconstructing lists.