Engagement map
How a Cedar Peak audit moves from call to memorandum
This page is the operating picture behind our audits for fintech clients—the rituals, artefacts, and handoffs that keep fieldwork calm when calendars are not.
Who this map is for
Compliance leads, finance owners, and founders who need to brief their teams before inviting outside reviewers into exception queues and safeguarding files. Use it to assign coordinators and reserve leadership time for the closing briefing.
Primary path
Most visitors land here after reading the Control Environment Audit. The same spine supports licensing readiness and reconciliation checks with lighter sampling.
Phases
Each phase ends with a tangible artefact so scope cannot drift quietly.
1 · Scoping letter
We confirm products, entities, exclusions, and the decision the review must support. You receive a one-page letter with fee range, sample intent, and proposed fieldwork dates.
2 · Evidence intake
Your coordinator uploads policy packs, org charts, reconciliation files, and access lists under a confidentiality letter. We freeze the sample window so later process changes do not blur testing.
3 · Field review
Walkthroughs of money paths, interviews, and sample testing. On-site days in Taiwan are scheduled when file rooms or leadership briefings require presence; otherwise work stays remote.
4 · Draft findings
You see draft observations for factual correction—not for softening severity without evidence. Disputed items stay in the file with both views noted when material.
5 · Memorandum & briefing
Final findings, remediation order, and a leadership session. Board-ready appendices are available when directors are the next readers.
What we ask of your team
- One coordinator with authority to gather files
- Access to masked case samples where AML is in scope
- Two leadership hours for the closing briefing
- Honesty about temporary overrides still in production
What we will not do
- File licences or act as your MLRO
- Replace your statutory auditor
- Quietly become outsourced operations staff
- Publish your findings without written consent
Common questions before fieldwork
How much notice do you need?
Three weeks is comfortable for a single-product control audit. Compressed bank deadlines are possible when evidence packs already exist; we will say no if quality would suffer.
Can you work only in English?
Working papers and memoranda are written in English. Interviews can include Mandarin support when your operators are more precise in Mandarin—say so during scoping.
Do you need system administrator access?
Usually no. Read-only exports, screen shares with an operator present, and sampled PDFs are enough for most audits for fintech products we review.
Align your team, then book the scoping call
When the coordinator and decision context are clear, request a call and we will propose dates.