Insight and Compliance driven Audit Support

Expertise and Knowledge to Meet Client & Regulatory Demands

Our audit and compliance support services leverage our industry knowledge to help you design, implement, and manage a rigorous internal audit program that provides you valuable insights for action

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The LegalEase Advantage

  • Design audit programs for internal and vendor processes

  • Create comprehensive research memos and questionnaires outlining all regulatory requirements

  • Gain an objective third-party view, offering a fresh look at possible new audit control points

  • Achieve insights from the audit with reporting frequencies defined by your needs

  • Leverage our hybrid pricing model that allows you to pay for the audits performed, and not for idle time with a global team

  • Receive actionable data that identifies ways to improve process controls, mitigate risks and correct process failures

LegalEase Audit Support Offerings

  • Anti Money Laundering (AML) Audit

    LegalEase Solutions conducts audits and tests the effectiveness of Anti Money Laundering (AML) compliance policies and procedures.

    The audit is done in 3 phases:
    • Phase 1 - Document collection
    • Phase 2 - Document evaluation
    • Phase 3 - Compile findings into audit report for Compliance Manager

    The audit conducts a review of:
    • AML compliance manual
    • Client identification procedure
    • Record-keeping process
    • Risk management and assessment process
    • AML training program
    • Monitoring and management information systems
    • Previous audit reports
  • Privacy Audit

    LegalEase Solutions carries out audits of your privacy practices by reviewing personal information handling practices. It includes on-going activities and new initiatives, and ensures that they comply with fair information practices prescribed by the Privacy Legislation.

    Our privacy audit involves:
    • Creating a comprehensive research memo detailing all regulatory requirements
    • Building questionnaires covering all relevant points mandated by law
    • Sharing questionnaires with departments handling personal information
    • Reviewing answers to questionnaires to ensure your information handling practices are compliant
    • Producing an audit report documenting the entire process, highlighting findings, flagging errors, and proposing corrective measures
  • Data Privacy And Information Security Audit

    In a digital economy where data is becoming increasingly vulnerable and highly regulated, the way your firm stores, accesses, and protects business information, becomes an integral part of your business strategy.

    LegalEase Solutions works with your team to access all your data sources, identify essential data compliance standards, create policies, and implement a governance model.

    We will review your information handling policies and make certain that you maintain your operational compliance by:
    • Providing a complete data audit
    • Developing a data protection scheme
    • Working with your team to implement effective and comprehensive safety policies
    • Developing a response management system to deal with data breaches
    • Training your employees in personal information safety
Need Help Setting up an Internal Audit Program?
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