Compliance Auditing and Regulatory Reporting

Start des Workflows/Prozesses.

Retrieve the latest list of applicable regulations and compliance standards from the Regulatory Data Model.

Create a task for the Compliance Officer to initiate the audit scope definition.

Create a new entry in the 'Audit Logs' data model to track the start of the current audit cycle.

Assign tasks to department heads to upload necessary documentation and proof of compliance.

Fetch all uploaded documents and evidence entries linked to the current audit ID.

Execute a formula comparing 'Required Controls' vs 'Implemented Controls' to determine the gap percentage.

Aggregate all 'High Risk' finding entries to count the total number of critical failures.

Update the Audit Record entry status to 'Review Phase' once evidence collection is complete.

Create a task for the Senior Auditor to review the findings and calculated gap scores.

Create a new entry in the 'Findings' data model for every non-compliance issue identified.

Send an email summary of the audit discrepancies to the Legal and Operations departments.

Create tasks for responsible owners to address the identified non-compliance entries.

Update the status of specific findings in the 'Findings' model once remediation tasks are marked complete.

Generate a comprehensive compliance report summarizing the audit scope, findings, and remediation progress.

Send the final generated report via email to the external Regulatory Body or Board of Directors.

Delete temporary or draft audit working papers that are no longer needed after the final report is finalized.

Ende des Arbeitsablaufs/Prozesses.