Regulatory Audit and Compliance Management Portal

The end client is an India-based Non-Banking Financial Company subject to periodic internal audits, statutory audits, and inspections by the Reserve Bank of India. The client’s identity is withheld in accordance with confidentiality obligations.
The organisation required a structured digital platform to manage audit schedules, coordinate document requests, track observations, and control access to sensitive financial and customer information throughout the audit lifecycle.

Audit Calendar and Compliance Tracking

A central calendar improved visibility into the annual audit programme:

• Internal audit schedules
• Statutory audit timelines
• Regulatory inspection activities
• Key submission and response dates
• Assigned audit owners
• Due-date notifications
• Upcoming and overdue activity views
• Consolidated annual compliance tracking

Auditor Request Management

Structured request registers replaced document exchanges through email:

• Dedicated request lists for each audit engagement
• Request descriptions and categories
• Assigned internal owners
• Service-level timelines
• Due dates and fulfilment status
• Supporting-document submission
• Automatic reminders for pending requests
• Complete request-and-response histories

Secure Evidence Management

Controlled SharePoint libraries centralised documents submitted during audits:

• Dedicated document libraries for each engagement
• Version-controlled evidence
• Restricted access to sensitive documents
• Traceable uploads and changes
• Central access to the latest submitted information
• Reduced duplication across email threads
• Complete document histories supporting audit review

Observation and Response Management

An observation register provided structured tracking from finding through closure:

• Audit finding records
• Risk ratings
• Assigned action owners
• Management responses
• Target completion dates
• Supporting closure evidence
• Escalation of overdue observations
• Reviewer and approver validation
• Formal closure approval

Secure Audit Workspaces

Each audit engagement received a dedicated and restricted workspace:

• Per-engagement SharePoint sites or libraries
• Access limited to relevant audit participants
• SharePoint groups aligned with engagement roles
• Restricted external-auditor permissions
• Time-bound guest access
• Expiration of access following engagement completion
• Separation of documents between different audits

Management and Audit Committee Dashboards

Dashboards improved oversight of audit and compliance activity:

• Open observations by risk rating
• Observation ageing
• Overdue management responses
• Pending auditor requests
• Closure progress
• Audit-level status summaries
• Decision-ready reporting for management and audit committees

Automated Notifications and Approvals

Power Automate reduced manual follow-up across the audit lifecycle:

• Request service-level reminders
• Observation due-date notifications
• Escalation of overdue actions
• Management-response alerts
• Closure-review routing
• Formal approval workflows
• Status notifications for relevant stakeholders

Because the portal manages confidential financial, customer, regulatory, and audit information, controlled access and traceability were central to the implementation:

• Permission scoping for each audit engagement
• Restricted SharePoint sites and document libraries
• Role-based access for employees, management, and auditors
• Time-bound guest access for external auditors
• Expiring permissions following engagement completion
• Version-controlled audit evidence
• Complete histories of requests, responses, and document changes
• Traceable management responses and closure approvals
• Controlled separation of information between audit engagements
• Formal escalation and approval workflows

These controls supported the organisation’s regulatory audit processes without representing the platform itself as a substitute for legal, statutory, or RBI compliance obligations.