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Control Services

Identify gaps in your internal controls and know what needs fixing.

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    Control Services

    About Our Control Services

    Your procedures may require a manager to approve a payment. But what does that manager check before approving it? And if something is wrong, is there a record of what happened next?

    These details matter. Having a control written down does not tell you whether it works.

    Vertex Compliance reviews internal controls through internal audit and focused process reviews. We talk to the people doing the work, examine selected records and report the gaps we find. You get an explanation of the problem, its possible consequences and the changes management should consider.

    What Our Control Services Cover

    You can ask us to review a particular process or agree on a wider internal audit assignment.

    1. Internal Audit

    We begin with the risks and activities that need examination. The assignment might focus on an operational process, compliance responsibilities, financial controls or oversight arrangements. After understanding how the work is done, we select records for testing and compare the evidence with the requirements. We discuss exceptions with the relevant employees before reporting. The findings explain what we checked, what fell short and why it matters, with reporting arrangements agreed at the start.

    2. Internal Control Reviews

    Some controls are poorly designed. Others are sensible but are not performed consistently. We help distinguish between the two. For example, a reconciliation may be completed every month, but nobody investigates the differences. An approval limit may exist, while system access allows it to be bypassed. We review the selected controls, the responsibilities behind them and the evidence available. Recommendations address the weakness found rather than simply adding another approval or form.

    3. Follow-Up on Findings

    An action marked “complete” still needs evidence. If access was meant to be removed, has it been removed? If a new review was introduced, is someone carrying it out? We can follow up on earlier findings and check the records supporting closure. Where the action only partly addresses the issue, we explain what remains unresolved. Management receives an updated position on the items reviewed and the work still outstanding.

    Our Approach

    We ask how the process works, check examples and discuss anything the records do not explain.

    1
    Agree on the Review

    We discuss what prompted the work and which areas need attention. Previous audit reports, recurring errors or changes in the business may help shape the scope. We then agree on the records needed, the people involved and who will receive the findings.

    2
    Walk Through the Work

    Your employees take us through the process from start to finish. We ask who performs each check and what happens when the usual person is away. We also look at exceptions, handovers and decisions that depend on someone’s judgement.

    3
    Examine the Records

    We test selected records to see how the controls have been applied. A signature or system entry may show approval, but it may not explain what was reviewed. We ask for supporting evidence and record any gaps that affect our conclusions.

    4
    Discuss the Results

    We check factual details with the relevant teams before finalising the report. Findings include the issue, its significance and a recommended response. Management can add its agreed actions, owners and dates. Follow-up work can be arranged to review progress.

    Who Are Our Control Services For?

    Banks and Financial Institutions
    Fintech and Payment Businesses
    Designated Non-Financial Businesses & Professions
    Businesses Reviewing Internal Controls

    Ideal for UAE organisations that need internal audit support, want a closer look at a process or have findings waiting to be resolved.

    Why Choose Vertex Compliance

    An Agreed Scope

    You know which activities we will examine and what the assignment is expected to deliver.

    Checks Against Records

    We review selected evidence rather than rely only on procedures or explanations.

    Understandable Findings

    We explain the gap and its consequences so the people responsible can respond.

    Help With Follow-Up

    We can check completed actions and identify what still needs attention.

    Meet the Experts

    Sarah Khan
    Vasantha Madan Mohan

    Managing Director

    Sarah Khan
    Sridhar Rajam

    Associate Partner

    Sarah Khan
    Arjun Mohan

    Director – Sales & Marketing

    Frequently Asked Questions

    Yes. You might want to examine payments, customer onboarding, access permissions or another process. We agree on what is included and discuss any connected activities that could affect the review.
    Where testing is part of the assignment, yes. We examine selected records and compare them with the expected process. The report explains the sample reviewed and any limits on the work.
    We consider both the written procedure and what happens in practice. An outdated document may be one finding; an unsuitable working process may be another. We explain the difference so management can address the underlying issue.
    We can explain recommendations and review proposed actions with your team. Any implementation support is agreed separately, with care taken to preserve the independence needed for internal audit work. Management remains responsible for choosing and putting changes in place.
    Yes. We need the original finding, the agreed response and evidence of the work completed. We then assess whether the action addresses the issue or whether something remains open.
    No. Conclusions relate to the scope, period and records examined. Testing a sample cannot establish that every transaction was handled correctly. We state these limits so management understands what the review supports.