Notes
Short notes from compliance workflow audits for fintech teams — written for compliance, operations, and risk partners.
Handoffs break audits before policies do
Most compliance failures we see start at the moment work changes hands — not in the policy PDF.
Evidence is a workflow, not a folder
Archive folders fill up. Review-ready evidence is produced by the same path that makes the decision.
Map the question before you map the control
Control matrices grow fast. Start from the questions you must answer, then attach living workflows.