Engagement
Controls & Compliance Audit for Fintech Operators
A structured review of payment, lending, or wallet controls against Taiwan licensing expectations and your stated policy set — delivered as findings you can assign, not a binder of jargon.
Who this is for
Payment institutions, electronic payment institutions, and fintech product teams in Taiwan preparing for FSC-facing reviews, investor diligence, or an annual controls refresh.
What you receive
A prioritised findings memo, control matrix mapping, and a closing walkthrough with your compliance lead and operations counterparts.
Scope
This flagship engagement examines how fintech controls actually operate day to day — customer onboarding trails, payment exception handling, reconciliation cadences, complaint logs, and board reporting packs.
We test whether written policies match observed practice. Sampling plans are agreed in advance so your operations team knows what will be pulled. Findings are written in plain language with severity, likely owner, and the evidence trail we relied on.
Preparation we ask for: current organisation chart for control owners, latest policy versions, a recent month of exception reports, and access to a walkthrough environment or recorded process demos. We do not require production system credentials for auditors.
Included
- Kick-off scoping call and document request list
- Policy-to-practice sampling across named control domains
- Written findings with severity, owner suggestions, and evidence notes
- Closing briefing for internal stakeholders (up to 90 minutes)
Not included
- Legal opinions or licence application drafting
- Remediation project management beyond advisory notes
- Continuous monitoring retainers (available separately)
How we work
Scope lock
We agree product boundaries, control domains, and sampling depth before fieldwork starts.
Evidence pull
Your team provides policies, procedure samples, and walkthrough access for named processes.
Testing & interviews
We sample transactions and interview process owners against your documented controls.
Findings delivery
You receive a ranked memo and we walk through remediation sequencing together.