What to Expect

What to Expect

throughout the audit process

Running an investment firm means juggling risk, regulation and performance—all while trying to grow. Our operational audit takes that weight off your shoulders. In just a few steps, we assess your systems, uncover inefficiencies and deliver clear, actionable insights that help you cut costs, stay compliant and scale smarter. It's not just about fixing problems—it's about unlocking your firm's full potential.

Project Timeline

Full Process takes 8-10 weeks

1

Data Collection

Weeks 1-2

Initial consultation and data gathering phase includes virtual meetings with senior management, collection of preliminary documents and system accesses.

  • Virtual meetings with senior management
  • Collection of financial reports and compliance policies
  • Identification of key personnel for interviews
  • Market positioning and competitive landscape review
  • Gaining access to audited systems
2

On-Site Evaluation

Weeks 3-4

Comprehensive on-site assessment covering trading systems, risk management, sales processes and operational workflows.

  • Senior management and staff interviews
  • Trading system evaluation and IT security assessment
  • Sales, financial, and regulatory compliance audit
  • Operational, HR, and administration evaluations
  • Product & service diversification evaluation
3

Growth Strategy Development

Weeks 5-9

Comprehensive report development with strategic expansion recommendations and growth analysis.

  • Finalizing audit reports with strategic recommendations
  • Marketing & growth analysis and optimization opportunities
  • Regulatory compliance strategy development
  • Operational scaling roadmap creation
  • Strategic market expansion plan development
4

Report Delivery

Weeks 9-10

Executive presentation with clear growth recommendations to drive strategic improvements, alongside our detailed audit report.

  • Executive Presentation with Actionable Recommendations
  • Risk Assessment and Remediation Strategies
  • Detailed Growth Strategy
  • Comprehensive Audit Report
  • Q&A Session

Our Methodology

Systematic approach to business operations auditing

1

Interviews & Discussions

Comprehensive meetings with key personnel across all departments to understand current processes and challenges.

2

Document Review

Thorough analysis of policies, procedures, financial statements, and compliance reports.

3

System Testing

Comprehensive examination of IT security, platform stability, and order execution quality.

4

Transaction Sampling

Detailed review of trades, deposits, and withdrawals to identify patterns and anomalies.

5

Benchmarking

Comparison with industry standards and best practices to identify improvement opportunities.

6

Performance Evaluation

Assessment of marketing strategies, campaign effectiveness, ROI, and regulatory compliance.

Why Choose AdviseCore

and our unique approach to business operations auditing

Identify Operational Inefficiencies

A fresh perspective to your internal processes. Uncover bottlenecks, redundancies and outdated systems that may be costing you time and money.

Strengthen Risk Management

With rising cyber threats and market volatility, risk exposure is a top concern. An external operational audit highlights vulnerabilities and recommends controls to protect your business.

Boost Stakeholder Confidence

Business decisions based on independent audit reports build trust with investors, clients and regulators—essential for growth in the financial sector.

Support Scalable Growth

As your business expands, so do operational complexities. An external audit ensures your systems and controls are ready to support sustainable scaling, benchmarked against industry standards and best practices.

Gain Strategic, Unbiased Insights

Beyond compliance, a professional external audit team offers actionable insights to improve performance, reduce costs and align operations with your long-term goals.

F.A.Q

Frequently Asked Questions

Absolutely. We can customize the audit scope based on your specific needs, focusing on particular areas of concern or excluding areas that have been recently audited. Pricing is adjusted accordingly. Contact us to discuss your requirements.

Our audit covers a wide range of activities, from trading systems, risk management, compliance, sales processes, marketing, HR operations, finance, administration to regulatory compliance. We also provide strategic growth recommendations and expansion planning.

Interested in auditing a specific function only?
Our Services page provides an overview of all audited functions. If you're looking for something else, reach out to discuss further.

At the end of the process, you will receive:
  • A management presentation with actionable recommendations
  • Risk Assessment and Remediation Strategies Report
  • Detailed Growth Strategy
  • Comprehensive Audit Report

Yes, we offer optional post-audit consulting sessions to assist in implementing recommended changes and regular progress tracking reports on corrective actions taken.

Ready to take your business to the next level?

Let's talk about how our audit services can elevate your firm's performance and reduce costs.

Contact Us