Engagement guide
This page explains how a Connect Automator audit for a fintech client actually runs. Use it to brief your compliance lead, evidence coordinator, and counsel before fieldwork begins.
We confirm licence type, product lines, prior findings, and the control families in scope. You leave with a written outline, fee band, and a list of extracts needed before kickoff. No deposit is taken until you accept the outline.
Roles are assigned: engagement lead, evidence coordinator on your side, and counsel copy list. Population frames and policy binders are due before walkthrough week. Delays here push sample testing — we say so in the calendar.
On-site or hybrid sessions with operations, compliance, and finance. We document approval paths, exception handling, and where evidence actually lives. Queue observation is part of AML-focused work — not optional theatre.
Agreed samples are tested against the control narrative. Working papers stay internal; you receive observation references you can remediate against. Contested items are logged with both views before the draft letter.
Draft findings, management responses, and a final graded letter. We remain available for clarification during your filing window. Remediation staffing, if wanted, is quoted separately after independence boundaries are clear.
Browse audit engagements or go straight to the licensing readiness audit if that is your filing priority.
Request a scoping call with your licence stage and preferred months. We reply with an outline tailored to your product lines.
Request a scoping call