Policy Exception Audit
Sampling across your nominated policy families, walkthroughs with process owners, and a ranked findings memo you can take into remediation — typically three to five weeks from kick-off.
Full scope and exclusionsHsinchuang · Taiwan
Innovative Network APIs
We audit how policy exceptions are authorised and closed — and where approval chains drift from the limits written in your manuals.
Who we sit with
Controllers, compliance leads, and internal auditors who need an outside pair of eyes on exception logs and dual-authorisation practices — without a full statutory audit cycle.
- Finance teams whose exception registers have grown faster than their review cadence
- Organisations preparing audit committee packs that need aging and theme analysis
- Groups that suspect approval limits no longer match how payments and write-offs move
Flagship engagement
Our Policy Exception Audit is the engagement most clients begin with when exception volume or compensating-control evidence feels thin.
Related engagements
Supporting reviews that sit beside exception fieldwork when approval paths or board timing need attention.
Approval Chain Review
Trace how purchase, payment, and write-off approvals actually move — and where dual control breaks down in practice.
Pre-Board Control Snapshot
A focused readiness check before board or audit committee meetings that will discuss exception trends and control health.
Remediation Follow-Up
Re-test whether agreed fixes after a prior audit actually closed the gaps in exception and approval controls.
What clients notice
Evidence from recent exception and approval work — specific enough to recognise the engagement, not a generic recommendation banner.
“They spent the first week inside our exception workbook instead of presenting a generic controls checklist. The finding on post-dated second approvals for vendor payments was uncomfortable, but specific enough that our AP lead knew exactly which steps to change.”
Plan a scoped estimate
Tell us which policy families and periods you want examined. We reply with a proposed calendar and fee basis within two business days.
Contact the practice