How to perform an audit - Knowledge Base - ComplyAssistant

Performing an Audit

After creating a new audit definition, you’ll see the basic definition on the next page. From there, you can:

  1. Assign the audit
  2. Add an audit report
  3. Manage attachments
  4. Complete the audit.

Assign the audit

Follow these steps to assign an audit:

  1. In the upper-right corner, click Assign Audit.

  2. Choose one or more Assignees. If necessary, click +Add User to add a new assignee.

  3. The frequency, priority, and categories will be pre-populated.

  4. Choose a Location Type and Location. ComplyAssistant supports physical locations, third party locations, and software systems.

  5. Choose both a Start Date and Due Date.
    A new audit will be assigned according to the Frequency. For example, a new quarterly audit task will be assigned three months in the future (to the same assignees).

  6. Optionally, add Notes.

  7. Optionally, add checklist items.

  8. Uncheck the boxes for any user to whom you do not want to send notifications.

  9. Click Submit to create the audit task.

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