Change Management Process Assessments and Testing

System Assessments

In most firms, business processes rely upon automated systems. From order entry through the clearance and settlement process, technology can provide critical compliance controls through programmed logic in the applications. There are, however, inherent risks surrounding the use of technology. Undetected programming errors can render controls ineffective and can provide a false sense of security that may subsequently result in findings of noncompliance. Finseg can evaluate your firm’s change management process and test processes to ensure your firm’s automated systems are operating as intended.