Sectors

Financial and business services

Regulated firms usually arrive with process obligations already set by a regulator or a group function. Certification gives independent evidence that those arrangements are followed in practice.

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What auditors look at in this sector

Audit findings cluster in predictable places. These are the areas your lead auditor will spend the most time on, so you can prepare for them rather than be surprised by them.

Documented service standards and turnaround times, with the measurements behind them
Segregation of duties and delegation of authority
Records management and controlled access to client information
Third-party and outsourcing control
Complaint handling, and the root causes it feeds back into
Competence and continuing professional development records