Case study
Compliance audit handler for insurance operations
Every bulletin from a regulator became another email thread and another shared drive folder. We built a single audit desk where owners attach evidence once, reviewers sign in sequence, and you export a clean packet when an examiner asks for proof.
The problem
Compliance owned the spreadsheet of controls, operations owned the claims platform, and legal owned the PDF notices. Nobody had one clock for due dates, version history, or who already attested to a control after a product change.
What we built
A web application with role based access, immutable audit log on state changes, and a work queue built around obligations instead of generic tickets.
- Regulatory intake ingests circular letters, internal policy memos, and third party audit requests. Each item gets a severity tag, effective date, and mapped product lines.
- Control library links each obligation to owners, testing frequency, and last evidence upload. The system nags on a schedule you set and escalates when a deadline is inside five business days.
- Evidence packets bundle screenshots, query exports, and signed attestations into one numbered PDF with a table of contents your external auditor asked for last year.
- Exception workflow routes gaps to a named approver, captures comments, and blocks closure until compensating controls are documented or the risk is accepted in writing.
- Read only API hooks push summary status into your enterprise GRC tool so executives see red amber green without logging into another product.
What you gain
Faster answers when a regulator asks show us control twelve for market conduct. Less duplicate work across LOBs when two teams prove the same identity check because the library stores one canonical artifact with reuse rules.
What you should do next
Bring your current control matrix, last exam findings, and the list of systems that produce logs today. We map SSO, load your first hundred controls, and run a pilot line of business before you expand company wide.