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Case Study On Best Practices for Fintech Companies: SOPS, RCM, and Internal Control

Case Study - Best Practices

Our client, a #fintech Company, was struggling to create #standardoperatingprocedures (SOPs), implement a robust Risk and Control Matrix (#RCM), and conduct an Internal Control over Financial Reporting (#ICoFR) activity. They needed to ensure compliance with regulatory requirements and improve their risk management framework, but lacked the necessary expertise and resources.
Our #Governance, #Risk, and #compliance (#GRC) team at #IPPCGroup took up the challenge and collaborated closely with the client’s management team to identify the gaps and risks in their existing processes. We conducted a thorough assessment of their operations and implemented a comprehensive plan to address their compliance and risk management needs.

We started by creating a comprehensive #SOP document that outlined all the key processes and controls for each area of the business. We then worked with the client’s management team to develop an #RCM framework that helped identify and mitigate risks across the organization. Finally, we conducted an ICoFR activity to ensure that the client’s financial reporting process was in compliance with regulatory requirements.

At IPPC Group, we offer a wide range of #GRC services, including #internalaudit, #ICoFR, SOP, Management Audit, Third Party Risk Audit, and Asset Assurance. Our team of experts has extensive experience in dealing with various regulatory requirements and can help you identify and mitigate risks across your organization. We can also help you develop and implement robust processes and controls to ensure compliance and improve your risk management framework.

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