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- Regulatory Reporting
- Process
- Assessment Review
Assessment Review
Record an independent decision on the tested assessment revision.
Step by step
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Test controls Control Tester
The Control Tester completes the sample record, result and evidence reference for each control in scope.
- Documents the tested control and support
- Updates Assessment tests, Controls, Record attachments
-
Review assessment Independent Assurance Reviewer
The Independent Assurance Reviewer compares tests, attachments, findings and scope, then records approval, rejection or return against the source revision.
- Captures the independent decision and reason
- Updates Assessments, Review decisions, Findings
ApprovalA person approves before the work moves on. -
Assign corrective work Control Owner
The Control Owner gives unresolved findings to named action owners, with due dates and evidence expectations.
- Makes an issue actionable for its owner
- Updates Findings, Corrective actions
Who does what
Roles and permissions- Control Tester
- , Independent Assurance Reviewer, Control Owner, Remediation Owner
Set up Regulatory Reporting your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.