Audit & ICC
Internal Controls & Audit Command Center
Consolidated audit and internal controls dashboard with risk-based audit planning, findings management, control effectiveness, ICAAP, ILAAP, compliance tracking, and AI-powered governance analytics.
From audit planning to board reporting — a unified governance ecosystem that links audits, controls, risks, and compliance into one defensible framework.
Plan. Audit. Control. Report — one integrated governance platform.
Core Modules
End-to-end governance capabilities — from audit engagement to capital adequacy, all linked through one integrated controls ecosystem.
Executive Command Center
The centralized audit and internal control dashboard consolidating audit engagements, findings, control effectiveness, compliance scores, and remediation progress into one unified view. Designed for executive oversight, it provides real-time visibility into audit coverage (89.7%), risk exposure (20%), and governance health with priority alerts and compliance score trends.
Key Features
Portfolio view of all audit engagements with real-time progress tracking and findings count
Compliance score trajectory monitoring — track improvement from 83 to 94.5 over 7 months
Module navigator providing quick access to Audits, Findings, Universe, Workflows, Risks, Controls, ICAAP, ILAAP, Compliance, and Analytics
Audit Engagement Management
The engagement management hub providing a structured lifecycle for planning, executing, and closing audits. Risk-based audit planning ensures audit resources are focused where risk impact is greatest, with automated sampling, evidence tracking, and coverage dashboards showing percentage of auditable entities reviewed.
Key Features
Full audit lifecycle management from planning through execution to closure with structured workflows
Risk-based planning with integrated risk scoring, dynamic updates, and audit coverage dashboards
Executive dashboards showing audit coverage KPIs, risk exposure metrics, and findings closure rates
Findings & Remediation
The centralized repository for audit observations and control deficiencies with structured workflows for classifying findings by severity (Critical, High, Medium, Low), assigning remediation actions, and tracking progress. AI-powered insights highlight anomalies, recurring issues, and systemic control gaps.
Key Features
Severity-based classification with status tracking — Open, In Progress, Resolved, Overdue
Remediation workflows with ownership assignment, progress milestones, and closure timeline tracking
AI-powered trend analysis detecting recurring findings patterns and systemic control gaps
Audit Universe
The auditable entity catalog maintaining a centralized inventory of all business units, processes, systems, and functions subject to audit. Each entity is mapped to risks, controls, and compliance requirements — ensuring risk-based coverage with heatmaps highlighting high-risk entities not yet audited.
Key Features
Centralized catalog of all auditable entities categorized by business line, product, or function
Risk mapping with inherent vs. residual scoring and integration with RCSA outputs
Audit coverage dashboard with heatmaps and trend analysis showing coverage over time
Workflow Automation
The process automation engine orchestrating the lifecycle of audits, findings, controls, and compliance tasks. Predefined workflows standardize progression, automated escalation handles unresolved findings, and AI-powered enhancements provide predictive alerts for potential delays and automated recommendations.
Key Features
End-to-end automation for audit planning, execution, closure, and remediation workflows
SLA monitoring with workflow health scores, overdue detection, and task completion dashboards
AI-powered predictive alerts for delays and automated task reassignment recommendations
Risk Register & Matrix
The risk assessment hub consolidating all enterprise risks into a structured matrix with scoring, appetite monitoring, and control mapping. Each risk is logged with inherent vs. residual scoring, status tracking, and heatmap visualization for quick identification of critical risks.
Key Features
Central repository with risk codes, categories, business units, owners, and inherent vs. residual scores
Risk assessment matrix with heatmap visualization and real-time appetite monitoring with alerts
End-to-end control mapping from risk to control to audit finding to remediation
Control Framework
The control framework management hub consolidating all internal controls with risk and audit integration. Controls are categorized by type (preventive, detective, corrective) with effectiveness ratings (Strong, Moderate, Weak) and automated testing workflows linked to RCSA outputs.
Key Features
Structured control library categorized by business process, risk type, and regulatory requirement
Effectiveness assessment with automated testing workflows and integration with RCSA outputs
Coverage dashboards with heatmaps highlighting weak or ineffective controls requiring attention
ICAAP — Capital Adequacy
The Internal Capital Adequacy Assessment Process integrating Pillar 1 and Pillar 2 calculations, stress testing, governance workflows, and SREP tracking. Ensures the institution maintains sufficient capital buffers with CET1, Tier 1, Total Capital, and Leverage Ratio monitoring.
Key Features
Structured assessment lifecycle from Draft through Board Approved to Submission with governance integration
Capital ratio monitoring — CET1, Tier 1, Total Capital, Leverage Ratio against regulatory targets
Waterfall chart visualization of capital requirements with stress testing integration under adverse scenarios
ILAAP — Liquidity Adequacy
The Internal Liquidity Adequacy Assessment Process ensuring sufficient liquidity buffers under normal and stressed conditions. Integrates LCR, NSFR monitoring, cash flow projections, stress testing with reverse stress scenarios, and SREP-aligned governance workflows.
Key Features
LCR and NSFR monitoring with cash flow projections and high-quality liquid asset tracking
Stress testing with market disruption, deposit run-off, funding freeze, and reverse stress scenarios
SREP-aligned governance with board dashboards showing liquidity adequacy posture and risk integration
Analytics & AI Insights
The intelligence layer consolidating audit, risk, control, compliance, and capital adequacy data into executive-ready dashboards. AI-powered insights detect anomalies, predict audit delays and compliance breaches, and provide recommendations for resource allocation based on exposure.
Key Features
Consolidated cross-module reporting with unified dashboards and drill-down capabilities
AI-powered predictive alerts for audit delays, compliance breaches, and risk cluster anomalies
Executive board packs with compliance score trends, findings analysis, and governance metrics
Executive Reports
The Executive Reports module is the governance reporting hub consolidating audit engagement outcomes, findings severity analysis, compliance score trends, ICAAP/ILAAP posture summaries, and risk exposure metrics into board-ready deliverables. Generates scheduled board packs with audit coverage KPIs, remediation status, and governance health metrics — all exportable, role-access-controlled, and protected by a complete audit trail on every report action and delivery.
Key Features
Board-level audit packs with compliance score trends, findings severity breakdown, and audit coverage KPIs
ICAAP/ILAAP posture reports with capital ratio summaries, liquidity adequacy dashboards, and SREP alignment
Automated scheduling with role-based access controls, export-ready formats, and full audit trail logging
Why Audit & ICC?
The unified governance platform that turns audit complexity into executive clarity
89.7% Coverage
Strong audit coverage across all auditable entities with real-time tracking and risk-based prioritization.
94.5 Compliance Score
Continuous compliance improvement tracked month-over-month with trajectory monitoring and board reporting.
Unified ICC
Audits, findings, risks, controls, ICAAP, ILAAP, and compliance integrated into one governance ecosystem.
AI-Powered
Machine learning detects anomalies, predicts delays, and recommends optimizations across audit workflows.
Full Audit Trail
Every update, override, and approval logged with timestamps for complete regulatory defensibility.
Automated Workflows
End-to-end process automation from audit planning through findings remediation with SLA monitoring.
Governance Frameworks
Built-in alignment with international audit and governance standards
Basel III
ICAAP/SREP
ILAAP
ISO 31000
COSO ERM
Local Regulators
Industries We Serve
Audit & ICC delivers enterprise-grade internal audit and controls across every regulated industry.
Frequently Asked Questions
Everything you need to know about Audit & ICC.
Governance Without
Guesswork.
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