Fractional Audit Prep
& Services
Struggling with audit prep or internal controls? We help firms get compliant.
As Featured In
Falling behind on audits?
Our fractional experts provide fast, reliable support for compliance, accounting, and IT—without full-time overhead. With experience across 200+ firms, we deliver flexible solutions to save time and resolve issues before or after audits.
HITRUST Support Services
With trusted partners, we help healthcare and fintech firms prepare for HITRUST CSF certification through targeted advisory, documentation, and audit readiness support.
Key Services
Readiness Assessments
Gap analysis against HITRUST CSF requirements
Policy & Control Mapping
Align internal controls with HITRUST 9.x or 11 frameworks
Documentation & Evidence Prep
Organize and draft policies, procedures, and implementation records
Remediation Guidance
Prioritized action plans for achieving control maturity
Vendor Risk Management
Third-party assessments and contract reviews
Audit Coordination
Liaison support during validated assessments and QA reviews
SOC 1 / SOC 2 Support Services
We support SaaS providers, fintechs, and service firms in preparing for SOC 1 and SOC 2 (Type I or II) audits with structured, audit-ready deliverables.
Key Services
SOC Readiness Reviews
Determine scope, gaps, and control design
Control Design & Documentation
Develop or enhance control narratives and risk matrices
Policy Frameworks
Draft or improve IT, security, HR, and operational policies.
Evidence Collection Assistance – Organize support documentation for audit delivery
Tool & System Review
Validate logging, change management, and access controls (e.g., AWS, Okta, Jira)
Ongoing Monitoring Support
Quarterly reviews, control testing, and policy updates
Custody / Audited Financial Services Support
We help investment advisers, fund managers, and fintech custodians prepare for audits conducted by PCAOB-registered firms, ensuring financial integrity, internal control assurance, and regulatory compliance.
Key Services
Custody Rule Readiness
Documentation and procedural guidance to satisfy SEC Rule 206(4)-2
PCAOB Audit Preparation
Coordinate with auditors on financial reporting and controls testing
Financial Statement Support
Review and organize audit-ready financial records and workpapers
Internal Controls Evaluation
Assist in assessing the design and effectiveness of internal financial controls
Books & Records Review
Ensure compliance with SEC and GAAP/IFRS accounting standards
Third-Party Auditor Coordination
Support planning and communication with PCAOB-registered auditors
Tools & Templates Provided
Control matrices aligned to HITRUST, SOC, and NIST frameworks
Policy and procedure templates (e.g., access control, acceptable use, change management)
Executive summary reports and board-level project plans
Compliance & Stakeholder Reporting Systems
FIN Portals offer a secure, cloud-based platform for firms and fractional partners to manage compliance tasks, filings, and stakeholder reporting—backed by experience with 200+ firms. Our system streamlines workflows, aligns teams, and integrates with existing tools—protected by Okta multi-factor authentication.
Supports reporting for ADV, accounting, audits, regulatory reviews, and more.
Features
White Labeling
Tailor with your brand identity and unique requirements.
Access Rights
Easily manage admin and user permissions.
Integrations
Integrate the app with your existing tools via API/SSO.
Compliance & Audit
Customizable workflows for training, disclosures, and audit reporting for all stakeholders.
Templates
Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.
Dashboards for Admin, Staff Clients
Seamlessly navigate the app through an intuitive interface accessible to multiple team members.
File sharing and Document requests
Share files with other users or request information securely.
IT/Security consulting
Including IT/cyber consulting with our partners.
Videos
See our videos how our system helps manage compliance tasks—faster and easier.
Get started with task templates and downloadable forms—then let our fractional team walk you through setup, integrations, and next steps.
Desktop
Track deadlines and monitor tasks
Collaborate with fractional support teams
Upload and share key documents securely
Access pre-built templates and customizable forms
Mobile
Track deadlines and monitor tasks
Upload and share key documents securely