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- Professional Services GRC
- Who it's for
- Accounting firms
Accounting firms
An accounting firm can organize internal assurance work around controls, samples, findings and review decisions with an explicit evidence trail.
How Professional Services GRC is set up for you
Scope the work
An Assessment Owner sets the organization, unit, period and question being reviewed.
Keep control ownership clear
A Control Owner links the risk to the practice the tester will inspect.
Record the exception
Assessment Tester enters the sample, outcome and evidence reference before raising a finding.
Separate judgment
Independent Reviewer decides a review or retest after examining the recorded work.
An accounting firm can organize internal assurance work around controls, samples, findings and review decisions with an explicit evidence trail.
Choose one internal operating unit and a control with a named owner. Rehearse a failed sample, a corrective action and a separate retest before broadening scope.
A pilot should use a real sample and an actual handoff between people. If a test fails, record the finding against its assessment and control, assign corrective work with a due date, and ask a different person to retest. If a client control review is needed, put its scope and contract requirement on that review record. The approval decision belongs to its source revision; the parent assessment has its own progress and closure.
Agree on the meaning of severity, evidence visibility and active control status before people begin using the lists. Check that the organization and business unit names match the work under review. A clear code for each unit and control will help colleagues find earlier tests when a client or internal reviewer asks about a recurring issue.
Features to start with
Roles on the team
- Assessment Owner
- Scopes assessments and coordinates tests and client reviews.
- Control Owner
- Maintains risk-linked controls and supports test preparation.
- Assessment Tester
- Records control test outcomes and raises findings with supporting evidence.
- Remediation Owner
- Owns corrective work, due dates and evidence after a finding is raised.
- Independent Reviewer
- Reviews assurance revisions and retests corrective work independently.
Set up Professional Services GRC your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.