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- Regulatory Reporting
- Process
- Completion Review
Completion Review
Reconcile operation receipts and close the reviewed reporting cycle.
Step by step
-
Review return Independent Assurance Reviewer
The Independent Assurance Reviewer makes the package decision using the submitted return and parent assessment.
- Establishes the package decision in assessment context
- Updates Regulatory returns, Review decisions, Assessments
-
Verify completion Reporting Analyst
The Reporting Analyst compares the return decision with the operation receipt and actual linked records. A failed or needs-review result stays in the exception queue until resolved.
- Reconciles receipt state and recorded effects
- Updates Operation receipts, Regulatory returns
-
Close assessment Control Owner
The Control Owner checks any findings and retests before marking the assessment closed.
- Confirms the assessment's remaining issues are resolved
- Updates Assessments, Findings, Retests
Who does what
Roles and permissions- Reporting Analyst
- , Admin, Independent Assurance Reviewer, Control Owner
Set up Regulatory Reporting your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.