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Driving financial systems and automation across global teams.

Builder ofEnterprise AI Systems

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Controls & assurance case study

Financial controls and reconciliation.

A controls workflow for GL and trial-balance reconciliation, administration checks, reporting controls, and audit-ready evidence.

General ledgerTrial balanceInternal auditExternal assurance
Ask the project copilotGrounded in this public-safe case study.

Business problem

What people needed to solve.

Control owners have to identify reconciling differences between the general ledger and supporting records, resolve the exceptions, and then show that reporting controls operated as designed. When that evidence lives in spreadsheets and email threads, every internal audit and external assurance request turns into a manual reconstruction.

Decision frame

Questions the work needed to answer.

  • What is unreconciled, who owns it, and what is the evidence?
  • Which control has been tested and what remains open?
  • How can internal audit and external reviewers trace a conclusion?
Interactive operating flowSelect any node for context or ask the AI guide.

Selected Operating layer

Reconcile + triage + evidence

Structured GL and trial-balance reconciliation around exceptions and accountable owners, with defined evidence paths for administration and reporting-control checks. Worked alongside internal audit and external assurance so issue triage, control testing, and review communication followed one process.

Implementation

From the business problem to a working operating model.

Structured GL and trial-balance reconciliation around exceptions and accountable owners, with defined evidence paths for administration and reporting-control checks. Worked alongside internal audit and external assurance so issue triage, control testing, and review communication followed one process.

  1. 01

    Structured GL and trial-balance reconciliation workflows around exceptions and accountable owners.

  2. 02

    Created evidence paths for administration and reporting-control checks.

  3. 03

    Supported issue triage, control testing, and review communication across stakeholders.

Controls, approvals, and delivery constraints

The work around the work.

Enterprise systems change only when data, access, testing, ownership, and evidence move together.

  • Evidence and review status are part of the workflow, not an afterthought.
  • Control design separates detection, review, remediation, and sign-off.
  • The public example excludes ledger values, control IDs, and audit findings.

Prior art

How leading teams approach this.

Public references for the same class of problem, so this work can be read against how other organizations are building it.

Anthropic

Agents for financial services

Ships a general ledger reconciler that reconciles accounts against the books of record and a statement auditor that checks statements for completeness and audit-readiness, the same exception-and-evidence pattern applied here.

Grant Thornton

The power of AI in efficient SOX compliance

Describes moving from point-in-time sampling to continuous control monitoring with automated evidence capture for reviewer sign-off and explicit auto-clear versus human-review criteria, which mirrors the control-evidence design here.

Public-safe outcome

A more defensible path from an exception to remediation and reviewable control evidence, with detection, review, remediation, and sign-off kept as distinct steps.