Full compliance reporting application audit
End-to-end review of a reporting application’s mapping logic, control evidence, exception paths, and filing outputs.
Who this is for
Compliance, finance control, and internal audit leads who rely on a dedicated reporting application to assemble supervisory returns, capital schedules, or conduct reports. The engagement suits teams facing an upcoming external review, a system change, or unexplained reconciling differences between operational books and filed figures.
Result you receive
A written audit memorandum that states what the application does correctly, where evidence trails break, and which findings require remediation before the next filing cycle. We include a prioritized action list tied to concrete screens, reports, and control owners — not a generic maturity score.
Scope included
- Inventory of reporting packs produced by the application and the filings they support
- Walkthrough of source-to-report mapping for the packs in scope
- Sampling of control evidence retained inside or beside the application
- Review of exception queues, override logs, and late adjustments
- Comparison of selected outputs against source extracts and prior filings
- Closing session with your reporting owners and a written memorandum
Outside this engagement
We do not redesign your chart of accounts, implement software, or act as your statutory auditor. Legal opinions on regulatory interpretation are out of scope unless separately agreed with counsel you appoint.
How we work
- Briefing — You share filing calendars, system diagrams, and access arrangements.
- Fieldwork — We sit with report owners, sample evidence, and test critical paths.
- Challenge — Draft findings are tested with your team before they harden.
- Close — Final memorandum and remediation sequence are delivered in writing.
Duration and location
Most full audits run three to six weeks depending on the number of reporting packs and the quality of access. Work is based from our Shinjuku office with on-site days at your premises in Japan as needed. Remote sessions cover distributed owners.
Preparation
Please nominate a single coordination contact, confirm read access to the reporting application and related document stores, and list known known issues. Incomplete access extends the calendar.
Pricing basis
Fees are quoted after a short discovery call. Pricing reflects pack count, filing urgency, and whether parallel systems must be sampled. A deposit secures the start date; see our refund policy for how deposits behave if plans change.
Next step
Request this audit with your next filing window and the name of the reporting application under review.