Trading Partner Code Completion Continuous Control Monitoring
Description
Monitor key control points for trading partner code completion; flag missing approvals, SoD conflicts, late postings, or incomplete evidence before month-end close. The MVP would connect Advana, data catalog, ERPs, feeder systems, data dictionaries, lineage tools and produce read-only recommendations for CDAO, OUSD(C), Component Chief Data Officers, system owners.
AI / analytics pattern
process mining + rules + ML
Automation level / stage
continuous assurance
Expected benefit
More timely control issue detection, reduced repeat findings, stronger ongoing assurance.
Audit / financial statement impact
Audit traceability and all statements dependent on source data quality
Controls / human review
Human review for exceptions and recommendations; maintain evidence packages, lineage, source citations, model cards, data-quality checks, and periodic QA sampling.
Data needed
Advana, data catalog, ERPs, feeder systems, data dictionaries, lineage tools; master/reference data; audit logs; policy/control requirements; prior exceptions; relevant document evidence.
Possible metrics
control exceptions detected before close; SoD conflicts remediated; repeat findings reduced
MVP scope
Start with one Component/reporting entity and one subprocess (trading partner code completion) for two close/audit cycles; read-only outputs first.
Related material weakness / control objective
Universe of Transactions, data quality and system modernization