Multi-Regulatory Compliance Support (Beyond DORA, NIS2, and GDPR)

Audit teams often struggle with managing multiple regulatory frameworks alongside internal governance requirements. Our platform provides:

• Structured compliance assessments across DORA, NIS2, GDPR, AML, internal policies, and group instructions.
• A flexible framework where organizations can define their own governance requirements, ensuring alignment with both regulatory and internal standards.
• A centralized approach, eliminating fragmented compliance efforts across different departments.
  

Digitalized Audit Follow-Ups for Governance & Risk Control

Audit reviews don’t end with a report; follow-ups are essential to ensure findings are addressed. Our platform enables:

• Automated follow-up assessments, ensuring audit findings (e.g., in AML or internal policy controls) are tracked and validated at predefined intervals (e.g., semi-annually).
• Evidence collection & documentation, ensuring compliance improvements are verifiable.
• Audit-ready reports, reducing manual effort in tracking remediation actions.
  

Risk-Based Approach to Compliance & Internal Controls

Rather than treating all compliance requirements equally, internal audit needs a risk-weighted approach. Our methodology supports:

• Risk prioritization models, focusing on high-risk, high-impact areas within AML, internal policies, and regulatory compliance.
• Integration of Risk/Impact vs. Risk/Effort modeling, ensuring audit recommendations align with business realities.
• A structured way to link compliance gaps to real business risks, helping internal audit justify prioritization to senior management.
  

Supporting Internal Guidelines & Group Instructions

Many organizations have internal compliance policies beyond regulations, such as:

• Group-wide policies on risk management, ethics, or sustainability.
• Internal guidelines for IT security, financial transactions, or operational risk.
• AML screening procedures and due diligence frameworks.

Our platform ensures these internal standards are assessed in the same structured way as external regulations, allowing audit teams to:

• Conduct uniform risk assessments across internal and external compliance areas.
• Use structured data to validate adherence to group policies.
• Ensure audit consistency across multiple governance layers.
  

Compliance & Risk Insights for Audit Planning

Internal audit functions need data-driven insights to refine their audit focus. Our platform helps by:

• Identifying recurring compliance gaps, ensuring targeted audit interventions.
• Providing structured risk evolution tracking, helping internal audit monitor if risks are increasing or decreasing.
• Supporting audit planning based on real compliance data, rather than static pre-defined cycles.
  

Why This Matters for Internal Audit

Alignment between internal & external compliance requirements, supporting a holistic audit function.

More effective compliance monitoring across e.g. DORA, NIS2, GDPR, AML & internal governance.

Reduced manual workload with automated follow-ups & evidence tracking.

A risk-based approach, ensuring focus on high-impact compliance areas.