01
Scoping conversation
We confirm the products in perimeter, the decision the audit must support, and the fieldwork window. You leave with a draft evidence checklist and a fee range.
Engagement Map
How a Riverbank audit moves from first call to findings brief
This map follows our Regulatory Readiness Audit. Partner diligence and health checks use a shorter path with the same evidence discipline.
02
Document intake
Policies, sample customer journeys, reconciliation packs, complaint files, and vendor oversight minutes land in a shared room. We flag missing sections before fieldwork starts.
03
Fieldwork and interviews
Reviewers test samples against stated procedures and meet onboarding, operations, and compliance owners. Sessions stay short; the document runner keeps binders in reach.
04
Findings delivery
You receive a readiness brief, a prioritised register, and a walkthrough with your compliance lead. Material items are raised early—never only on the last slide of a closing call.
What you prepare
- Current product list and entity chart
- One recent month of reconciliations
- Open findings from prior reviews
- Named interview participants and backups
Ready to place a review on the calendar?
Choose an engagement, or send a note describing the examination or diligence date you are working toward.