Compliance & Procedures Audit

What We Review

Internal controls & policies

The control framework itself: authorization and approval processes, segregation of duties, spending thresholds, and whether policy documentation actually matches current operations. The most common finding in owner-led businesses is concentration — one person able to initiate, approve, and record the same transaction.

Process compliance

We test adherence in the processes where the risk lives: procurement, payments, inventory movements, payroll, and revenue. A risk and control matrix maps every key process against the controls that should protect it — and flags where nothing does. Statutory and regulatory compliance is checked alongside, so external obligations aren't discovered during an inspection.

Governance & accountability

Who reports what to whom, how often, and whether management can actually act on it: board and management reporting, decision authorities, and the accountability structure that determines whether findings get fixed or filed.

How the Audit Runs

Four phases: Map — we document your current policies, procedures, controls, and governance practices as they exist today. Assess — we test real transactions against them, evaluating both design (is the control sensible?) and operation (does anyone follow it?). Report — you receive structured findings with risk ratings and a prioritized, actionable roadmap — not a phone-book of observations. Implement — we work with your team to close the gaps: updated policies, redesigned approval flows, and controls that fit the size you are now, not the size you were.

The Signs You Need One

• You've never had a formal internal audit or compliance review.
• Policies exist on paper but everyone knows they aren't consistently followed.
• A regulator, investor, bank, or audit committee is asking for compliance evidence.
• Errors, fraud, or control failures have already occurred — and you want to prevent the next one, not just explain the last one.
• The company has scaled, but approvals still work the way they did when you had 20 employees.

What You Get — Beyond a Report

A complete picture of control gaps and compliance risks, risk-rated so you fix the dangerous ones first; updated, enforceable policies and procedures; a stronger governance and reporting structure; and measurable efficiency gains — because the same review that finds control gaps also finds the duplicated approvals and redundant steps that slow your operations down. Control findings often connect to neighbouring disciplines: financial controls and audit readiness sit with our Financial Transformation practice, tax-specific exposures with the Tax Advisory Assessment, and accountability structures with Organizational Transformation.

If you cannot confidently answer "would our controls catch a serious error before it left the building?", book a free consultation and we'll scope the review.