PE-Backed SaaS
The Challenge
A PE-backed SaaS organisation relied heavily on automated workflows and system-generated reporting to support financial and operational decision-making. Management required assurance that critical automated controls were designed and operating effectively.
Our Approach
Workflow Controls
Automated process controls and validation points
Data Integrity
Ensuring accuracy and consistency of system data
Exception Reporting
Automated detection and reporting of anomalies
SOD Analysis
Segregation of duties within automated systems
Assessment Focus Areas
- Automated workflow controls
- System configuration governance
- Interface controls
- Data integrity controls
- Exception reporting processes
- Segregation of duties analysis
Key Results
- Improved confidence in automated reporting
- Enhanced governance over system changes
- Reduced control reliance on manual processes
- Strengthened audit trail and accountability
Outcome
Management obtained assurance over critical application controls and established a roadmap supporting future growth, investor scrutiny and audit requirements.
"RMO played a key role in supporting our SOX compliance programme. Their understanding of technology controls, risk management, and regulatory requirements enabled us to successfully meet our reporting obligations while improving the overall maturity of our control environment."
Head of Internal Audit
International Listed Company