Services / Financial Controls & Investigations
Financial controls and investigations
When something does not add up, find out why.
Controls reviews, fraud-risk assessments and forensic financial analysis, led by a Certified Fraud Examiner. Confidential, carefully scoped, and grounded in the records.
Problems this addresses
Common reasons clients call.
- Cash, inventory or margins are lower than they should be, and no one can explain it.
- One person controls too much of the money and the records.
- An employee, vendor or partner relationship raises concerns.
- A lender, buyer or board wants assurance that controls are working.
- The business has grown, but its approvals and payment controls have not.
Who this is for
Owners, boards and their advisors.
We can also support attorneys and lenders who need a financial review of a business.
- Owner-managed businesses with limited segregation of duties
- Companies that suspect a loss or irregularity
- Boards and investors who want an independent look at controls
- Counsel who need forensic financial analysis to support a matter
Scope and deliverables
What this work can include.
- Controls assessmentA review of how money, inventory and records are approved, recorded and checked, with practical fixes.
- Fraud-risk assessmentWhere the business is exposed, how likely a loss is, and which controls would reduce it.
- Forensic financial analysisTracing transactions, testing records and documenting findings in a form others can rely on.
- Process reviewsReceivables, purchasing, payroll, expenses and disbursements, tested against what should happen.
- Internal audit supportPeriodic testing of key controls for businesses without an internal audit team.
- RemediationHelp putting the agreed control changes in place and checking that they work.
Engagement process
How an engagement runs.
Confidential intake
A short conversation to understand the concern, the people involved and any deadlines. We check for conflicts before accepting the work.
- You receive
- A proposed scope and approach.
Fieldwork
We review records, test transactions and controls, and document what we find.
- You receive
- Organized evidence and working notes.
Findings
We report what the records show, and what they do not, in plain language.
- You receive
- A written report and recommended next steps.
What your team provides
- A sponsor with authority to approve the work
- Access to records, systems and relevant people
- Discretion about the engagement within the business
- Coordination with counsel where legal questions arise
Boundaries
- We do not provide legal advice or make legal conclusions
- We do not issue audit opinions or certify compliance
- Findings depend on the records available
- We do not guarantee recovery of any loss
Questions
Before you reach out
Is this confidential?
Yes. We scope these engagements carefully and limit who knows about them. Where litigation is possible, we recommend involving counsel early.
What is a Certified Fraud Examiner?
The CFE credential is issued by the Association of Certified Fraud Examiners. It covers fraud prevention, detection and investigation.
Can you work with our attorney?
Yes. We can structure the work to support counsel's needs.
We have no specific concern. Is a controls review still useful?
Often, yes. Growing businesses outgrow their controls quietly. A review finds the gaps before they cost money.
Related services
Often paired with
Start with a confidential conversation.
Share only what you are comfortable sharing. We will explain how we would approach it.