Compliance &amp; Regulatory

Internal Control Walkthrough Script

Generates a list of interview questions to document the 'cradle-to-grave' flow of a transaction for SOX compliance.

10-Q MD&A draft from variance drivers (management-ready)

Drafts an MD&A section based on provided financial changes and drivers, with structured language and risk-aware tone. Useful for SEC reporting teams accelerating first drafts.

10-K footnote checklist mapped to owners and source systems

Creates a 10-K footnote checklist with owners, data sources, and validation checks. Useful for planning the annual reporting process and avoiding last-minute gaps.

8-K trigger assessment and drafting outline

Helps assess whether an event may trigger an 8-K and drafts an outline with required sections and data needs. Useful for controllers coordinating with legal/compliance.

XBRL tagging readiness: mapping table and validation checks

Creates an XBRL mapping plan and validation checklist for financial statement line items. Useful for SEC reporting teams preparing for tagging and review.

Disclosure controls & procedures (DCP) quarterly certification pack

Drafts a DCP certification pack with sub-cert templates, evidence requests, and sign-off workflow. Useful for public company compliance and audit committee support.

SOX risk-control matrix (RCM) generator for a process

Creates a SOX RCM with risks, controls, evidence, and testing attributes. Useful for building or refreshing SOX documentation efficiently.

SOX scoping memo: in-scope locations, systems, and accounts

Drafts a scoping memo for SOX including in-scope entities, systems, accounts, and rationale. Useful for annual SOX planning and auditor alignment.

SOX remediation tracker: actions, evidence, and retest plan

Creates a remediation tracker for SOX issues with evidence requirements and retest timing. Useful for program management and audit committee updates.

Key report inventory and IPE testing checklist (SOX)

Builds a key report inventory and an IPE testing checklist for completeness/accuracy. Useful for SOX programs dependent on system reports.

Customer risk rating model: factors, scoring, and governance

Designs a customer risk rating model with scoring factors and governance. Useful for AML programs and compliance teams standardizing KYC risk assessment.

KYC file checklist and deficiency remediation letter template

Creates a KYC document checklist and a client-facing deficiency letter template. Useful for onboarding teams and compliance operations.

Transaction monitoring alert triage playbook

Builds an alert triage playbook including prioritization, investigation steps, and documentation templates. Useful for AML analysts and supervisors.

AML policy refresh: gap assessment against current requirements

Creates a structured AML policy gap assessment and an update plan. Useful for compliance leaders preparing for exams or audits.

ESG metric inventory: definitions, boundaries, and data owners

Builds an ESG metric inventory with definitions, boundaries, and ownership—critical for auditability. Useful for sustainability teams starting structured reporting.

GHG Scope 1/2/3 calculation plan with evidence checklist

Outlines a GHG calculation approach including activity data, emission factors, and evidence requirements. Useful for organizations preparing verifiable emissions reporting.

ESG report narrative drafting with claims substantiation checklist

Drafts ESG narrative content and includes a substantiation checklist to prevent unsupported claims. Useful for comms/legal/compliance alignment.

ESG internal controls design: data capture to reporting (SOX-like)

Designs internal controls over ESG reporting, including process maps and control activities. Useful for organizations integrating ESG into control environments.

Single Audit (OMB Uniform Guidance) readiness checklist

Creates a readiness checklist for Single Audit including SEFA, major program determination inputs, and documentation. Useful for nonprofits and grant-funded entities.

SEFA builder: mapping grants to CFDA/Assistance Listing and notes

Builds a SEFA template and maps grants to required fields and note disclosures. Useful for grant accountants and auditors.

GASB fund balance classification guide and examples

Creates a fund balance classification guide (nonspendable/restricted/committed/assigned/unassigned) with examples. Useful for government finance teams and auditors.

Grant compliance monitoring plan with testing cadence

Designs a grant compliance monitoring plan including testing cadence and documentation. Useful for nonprofits managing multiple grants and preventing findings.

GDPR data processing inventory: systems, data types, legal bases

Creates a GDPR processing inventory and maps data types to purposes, legal bases, and retention. Useful for privacy compliance and audit readiness.

DPIA template with risk scoring and mitigation actions

Generates a Data Protection Impact Assessment template with risk scoring and mitigation steps. Useful for privacy teams launching new products or processing activities.

CCPA/CPRA consumer request workflow (DSAR) with SLAs

Designs a DSAR workflow including intake, verification, fulfillment, and logging, with SLA tracking. Useful for operationalizing privacy compliance.

Vendor risk questionnaire: privacy and security controls

Creates a vendor questionnaire focused on privacy/security controls, plus scoring and remediation tracking. Useful for procurement and compliance teams.

Internal Control Deficiency (SOC 1/2) Response

Drafts a management response to a discovered control deficiency. Helps compliance officers communicate remediation plans to auditors.

SEC Form 10-K MDA Drafting Assistant

Drafts the Management’s Discussion and Analysis (MD&A) section based on quarterly results.

SOX Control Matrix (RCM) Builder

Maps financial risks to specific controls, ensuring no gaps in the internal control environment.

SEC Form 8-K: Material Event Disclosure

Drafts the disclosure for a 'Current Report' following a significant corporate event.

AML/KYC Risk Scoring Logic

Develops a framework for assessing customer risk levels for anti-money laundering compliance.

Cybersecurity Disclosure (Item 106 of Reg S-K)

Drafts the new required SEC disclosure regarding cybersecurity risk management and strategy.

ESG Carbon Footprint Disclosure (Scope 1 & 2)

Drafts the sustainability narrative for carbon emissions based on greenhouse gas protocols.

GDPR Data Privacy Impact Assessment (DPIA)

Evaluates the risk to personal data in new projects or software implementations.

GASB 87 Lease Accounting Checklist (Govt)

Ensures state and local government entities comply with newer lease standards.

SOX 404(b) Deficiency Evaluation (SAD)

Determines if a control failure is a Deficiency, Significant Deficiency, or Material Weakness.

Conflict Minerals Disclosure (Form SD)

Drafts the narrative for companies sourcing minerals like tin, tungsten, or gold.

AML Suspicious Activity Report (SAR) Narrative

Drafts the factual summary required when reporting suspicious financial behavior.

CCPA/CPRA Consumer Request Response

A template for responding to 'Right to Know' or 'Right to Delete' requests.

Insider Trading Policy Memo

Drafts an internal memo explaining 'Blackout Periods' and 'Material Non-Public Information'.

Foreign Corrupt Practices Act (FCPA) Training Outline

Creates a curriculum for employees working in international jurisdictions.

Regulation FD Compliance Checklist

Ensures that material information is disclosed to the public and not just select analysts.

Whistleblower Policy & Procedure Draft

Drafts a safe mechanism for employees to report unethical behavior.

Code of Business Conduct (COBC) Review

Audits an existing Code of Conduct for modern compliance standards.

Beneficial Ownership Information (BOI) Reporting Logic

Determines if a company must report its 'beneficial owners' under the Corporate Transparency Act.

SEC Comment Letter Response Draft

Drafts a professional response to inquiries from the SEC’s Division of Corporation Finance.

Social Responsibility (CSR) Report: Supply Chain Audit

Drafts the section of a CSR report detailing how a company ensures ethical labor in its supply chain.

SEC Comment Letter Analysis (Technical)

Analyzes trends in SEC inquiries for specific industries to prepare for filings.

Non-GAAP Financial Measure Reconciliation

Ensures EBITDA and other metrics comply with SEC Regulation G.

Segment Reporting (ASC 280) Determination

Identifies reportable segments based on the CODM's review process.

Internal Firm Memo: AI Usage Policy

Sets the 'ground rules' for how staff can and cannot use Generative AI in their work.

Cybersecurity Incident Response Plan (Firm)

A step-by-step guide for what the firm must do if client data is breached.

Conflict of Interest Disclosure Form

Ensures firm independence by having staff disclose outside interests.

Client Exit 'Offboarding' Checklist

Ensures a professional and secure departure for clients leaving the firm.