SAI360 Regulatory Exam & Audit Management is a cloud-based solution within the SAI360 platform designed to help organizations manage regulatory examinations and audit activities in a structured and controlled manner. The solution centralizes documentation, coordinates responses to regulators and auditors, tracks findings, and manages remediation tasks. It provides workflow-driven processes, reporting capabilities, and audit trails to support transparency, accountability, and compliance readiness. The module integrates with broader compliance, risk, and policy management functions to ensure consistent oversight across governance activities.

Key Features

Regulatory Exam Management Coordinate and document regulatory examinations.

• Central repository for regulator requests and communications
• Assignment and tracking of response responsibilities

Audit Management Manage internal and external audit engagements.

• Planning and scheduling of audit activities
• Documentation of audit scope, evidence, and results

Issue and Findings Tracking Capture and monitor audit findings and regulatory observations.

• Classification and prioritization of issues
• Linkage of findings to root causes and risk categories

Remediation and Action Plan Management Track corrective actions through completion.

• Assignment of action owners and due dates
• Status monitoring and escalation workflows

Workflow and Notifications Automate coordination across teams.

• Configurable approval processes
• Automated reminders and task alerts

Reporting and Dashboards Provide visibility into exam and audit status.

• Real-time dashboards for leadership oversight
• Exportable reports for regulators and management

Integration within the SAI360 Platform Align audit activities with enterprise risk and compliance processes.

• Linkage to risk registers and control frameworks
• Coordination with policy and incident management modules

Benefits

Improved Regulatory Readiness Support structured preparation and response to examinations.

• Centralized documentation and communication records
• Clear ownership of regulatory requests

Enhanced Accountability Ensure responsibility for findings and remediation.

• Defined issue owners and deadlines
• Traceable approval and review history

Operational Efficiency Reduce manual tracking and fragmented communication.

• Automated workflows and notifications
• Consolidated exam and audit data in one system

Stronger Governance Oversight Provide leadership with visibility into compliance posture.

• Aggregated reporting across audits and exams
• Identification of recurring control weaknesses

Continuous Improvement Enable systematic follow-up on findings.

• Structured remediation tracking
• Linkage of findings to broader risk management efforts