Template - Finance Key Controls
About this template
This template includes a list of 30 expected financial key controls, associated risks, and expected tests for each control. This control has been designed so that audit and compliance teams can review controls and ensure they are designed, implemented and operating effectively. Furthermore, the template allows for finance teams to record their own assessment of how effectively the controls are currently operating.
The template has been designed as a 'SOX Lite' finance risk and controls matrix and is ideal for any small to mid-sized organisation looking to embed better financial controls and governance within the business.
Things to be careful about
This template has been designed so that is can be easily applied to many audit and finance departments. It only includes generic controls which may or may not be entirely applicable to your business. As such, all controls should be reviewed and updated to ensure they suit your organisation. My Audit Spot is able to customise this template, or even offer a walkthrough on how to use the template for an hourly fee. Please contact us for further assistance and a quote.
Please be careful of the formula's within the template. Editing these may impact on the effectiveness of the tool. Only enter text in fields highlighted in yellow.
CC1 - Finance Key Controls
The information contained in this template is of a general nature and is for information purposes only.
My Audit Spot assumes no responsibility for errors or omissions in the contents of the template and any assocaited information.
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