Handoffs break audits before policies do
When a fintech team asks us to review a compliance workflow, they often open with the policy. That document matters. It rarely explains why last quarter’s sampling failed.
Failures cluster at handoffs: case queues that leave a system without a named owner, escalations that land in a shared inbox, and approvals that sit in chat instead of the case record. The policy still reads clean. The trail does not.
A useful first test is simple. Pick ten closed cases. For each step, ask who moved it, which system recorded it, and whether a stranger could reconstruct the decision in under ten minutes. Where that fails, fix the handoff before rewriting another page of policy.
If you want that test run with an outside eye, book a scoping call and we will map the path with your team.