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Standardization of governance

Internal Control & maintain compliance

Compliance auditing is a mechanism that allows businesses to identify those gaps proactively and address them, improving their internal control processes.
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Business management services

Management problem

How to find vulnerabilities? before it causes consequences

Most businesses operate three financial layers simultaneously: recording actual business operations, complying with accounting and tax obligations, and managing finances toward growth objectives. These three layers exist in parallel—but are rarely designed to synchronize with each other.
Business operations are inherently unique—the way revenue, inventory, and accounts receivable are recorded varies from industry to industry. However, accounting and tax regulations are governed by legal standards that cannot be adapted to these specific characteristics. And at the top, management needs data to make decisions—something neither of the other two levels is designed to provide.
The result: three layers coexist but are out of sync. The risk doesn't lie in where it goes wrong—it lies in the gap between the three unconnected, correct elements.
Signs that the system is malfunctioning.
  • Ineffective internal control system
  • Compliance issues are becoming increasingly common.
  • The errors show no signs of decreasing; in fact, they are increasing.
  • The financial management and business management systems are not synchronized.
  • It takes time to resolve discrepancies between the HR system and other systems.

"Early detection from within is always less costly—in terms of time, money, and reputation—than when it's pointed out from the outside."

Compliance audit

Effective tool
for the management team

3P is not a salary template. 3P is a modern salary management methodology built on the combination of three groups of human resource factors as the basis for organizational design.

01

Risk control

Compliance audits help clients assess, identify, and control internal risks, thereby minimizing errors, mistakes, fraud, and abuse of power within the organization.
"Which risks are not being identified?"

02

Development orientation

Through assessments and recommendations on issues related to business operational compliance, management can guide business development more rationally and effectively, while minimizing risks.
"Is the area currently gaining recognition for its advantages?"

03

Enhancing efficiency

Through compliance audits, businesses can optimize operational processes, enhance the efficiency and accuracy of their business operations, and thereby ensure the sustainable and reliable development of the organization.
"Are the operational processes being optimized or are they being wasteful?"
Position in the journeyCompliance auditing is the final step in the Operational Efficiency phase — and a necessary condition for businesses to move into the Value Transformation phase with a sufficiently solid foundation for any external observer.

Compliance audit

Three areas — a comprehensive review.

Risks are often not confined to one area but lie at the intersections. We review all areas simultaneously to avoid missing discrepancies that would only be apparent when examining all three at once.

01

Finance & Taxes

Review the consistency between accounting records, tax returns, and financial statements across periods — identify any revenue, expense, or depreciation classifications that have not been updated to reflect changes in the business model.
Accounting & Taxes
Invoice
Financial report

02

Salary & Social Insurance

Review whether the salary system, social insurance contribution structure, and personal income tax calculation method are still appropriate for the actual workforce structure — especially when the business has changed in size or organizational structure.
Labor contract
Compulsory social insurance
Personal Income Tax

03

Corporate Law

Reviewing business licenses, registered business lines, and legal entity structures to ensure they accurately reflect actual operations is crucial. This area is often overlooked in governance, but the consequences can be very serious.
Business license
Registered business activities
Legal entity structure

Establish an internal control system.

From independent review
to a sequential processing procedure.

We read the system. The result was a clear map of what needed to be adjusted and the priority order for doing so.
01
Stage XNXX

Independent and comprehensive review

We conduct the review as a third party — not the ones who built the system, and with no vested interest in the results. This allows us to see aspects that insiders have become accustomed to overlooking because they have existed for so long.
  • Read all current records simultaneously.
Accounting records, tax returns, employment contracts, social insurance records, business licenses — these are read simultaneously to identify inconsistencies between sources, not just checked individually.
  • Compare with current operating conditions.
Records only reflect what has been recorded — and don't always accurately reflect how the business is actually operating. We cross-reference to ensure we're assessing the real picture, not just the picture on paper.
02
Stage XNXX

Risk report and response plan

The review results are presented as a risk map—categorized by impact level and urgency. It's not a long list to be read—but rather a tool to decide what to address first and what can be done over the longer term.
  • Risk classification by level and urgency.
Risks requiring immediate attention, risks needing short-term planning, and risks requiring long-term monitoring are clearly categorized so that businesses can allocate resources to address them in the correct order.
  • Specific adjustment roadmap
Each risk point is linked to a specific action: what adjustments to make, what documentation to add, which processes need updating — and the order in which to perform them to minimize operational disruption.
03
Stage XNXX

Support for routine processing and maintenance.

We are involved throughout the implementation process — working with the accounting and HR teams to make the necessary adjustments. And we conduct periodic reviews to ensure the system doesn't accumulate new discrepancies as the business continues to change.
  • Support for implementing adjustments
Work directly with the accounting and HR teams to implement adjustments according to the established timeline — ensuring no new discrepancies are created while addressing existing ones.
  • Periodic review according to the growth cycle.
Each significant growth phase—adding legal entities, expanding business lines, changing personnel structures—is a time to review and ensure the systems are keeping pace with the business.
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Connect to the next phase.
Once the system has been reviewed and adjusted to ensure synchronization, the business has the foundation to move on to the next phase. Value conversion — fundraising, M&A, or generational transition — with a track record consistent enough that any party looking at it can trust the numbers.

Results of the compliance audit

What does the organization receive? after the system has been audited.

Not a certificate — but genuine management competence and a comprehensive overview of corporate governance.
Risk control

Know exactly where the system is located.

Businesses know exactly what's right, where there are discrepancies, and what has been addressed — with concrete evidence for each point.
Be proactive instead of reactive.

Address the issue before external pressure arises.

Risks are identified and addressed according to a planned process — not in a reactive situation due to pressure from regulators, banks, or partners.
Ready for the next step

Consistent profile when expansion is needed.

When a business needs due diligence for loans, fundraising, or M&A — the documentation is ready. The business confidently opens the file and seizes the opportunity.
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* Eliminate waste and address the problem at its root.

INTERNAL CONTROL

Has your system kept pace with the business?

Schedule a free 30-minute consultation with us and let our experts help you choose the best structure for your needs.
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Top Q&A

Businesses often ask regarding compliance auditing

Auditing financial statements confirms that the figures in the reports accurately reflect the financial position—this is a legal requirement and is usually performed by an independent auditing firm in accordance with auditing standards.

Expertis' compliance audit takes a broader and more practical approach: Is the operating system still synchronized with what was designed and registered? The scope includes accounting, tax, labor, and corporate legal matters — read together to find gaps between areas, not to validate each one individually.

Many businesses that already have annual financial statement audits still need compliance audits — because the two answer two different questions.

The timeframe depends on the size, number of entities, and complexity of the system—typically two to four weeks for the principal review phase. Much of the work is performed by Expertis based on provided documentation, requiring minimal on-site involvement from the company's team.

Typically, an initial discussion is sufficient to understand the overall picture, followed by a few quick confirmations during the review process when the Expertis needs clarification. Daily operations were not interrupted.

There's no single best time — but some times are better than others. The three most common examples are:

Before the annual tax settlement — to detect and address inconsistencies before the file is officially submitted. The processing cost at this stage is much lower than after the final settlement has been submitted.

After a period of significant growth — Adding new business lines, more personnel, expanding geographical reach, adding more legal entities. This is when the system is most susceptible to deviations from actual operating conditions.

Before an important event — raising capital, taking out bank loans, M&A, or taking over. When outsiders are about to look in, businesses need to know where they stand.

Unless a specific event is imminent, a periodic review cycle of every 12–18 months is sufficient to prevent the system from accumulating significant discrepancies.

Yes — and this is where the real value comes in. Identifying a problem without a plan to address it only creates more anxiety and solves nothing.

Expertis accompanies you throughout the entire implementation process: adjusting the accounting system, standardizing labor records, updating business registration, and handling outstanding tax obligations — all according to the agreed-upon roadmap and in order of priority that matches the company's resources.

Businesses can choose to simply retrieve the report and handle it themselves — or let Expertis handle the entire process. Both are valid and fully supported options.

Compliance audit

A perspective from practice
Expertis consulting

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