Internal Audit Agent

Third-Line Assurance That Actually Covers Everything.

Support risk-based audit planning, execute testing with complete workpapers, document findings with source-linked evidence, and track remediation to closure, including independent assurance over the AI agents operating across your institution.

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Institutions Trust Uptiq

Automate Internal Audit Planning, Testing, and Reporting

Replace time-consuming manual fieldwork, inconsistently documented workpapers, and finding registers that fall behind during busy periods with a structured audit workflow that accelerates testing, preserves evidence integrity, and tracks every finding from documentation through remediation.

Risk-Based Audit Planning & Scoping

Supports the development of risk-based audit plans by mapping the audit universe to the institution's current risk inventory, identifying areas where risk levels or control changes have elevated the priority of audit coverage, and producing structured scoping documentation ready for Audit Committee approval. Planning inputs are drawn from the current RCSA, loss event history, prior audit findings, and regulatory examination results, the same evidence base that regulators expect audit planning to reflect.

Supports risk-based audit planning and scoping with current risk inventory inputs

Maps the audit universe to RCSA findings, loss events, and prior examination results

Produces structured scoping documentation ready for Audit Committee review and approval

Test Execution & Workpaper Documentation

Executes audit testing through structured test programs, documents every test step with the specific control tested, the evidence examined, the result observed, and the conclusion reached, maintaining the workpaper standards that support both internal quality review and external examiner inspection. Evidence integrity is maintained through source linkage that traces every workpaper conclusion back to the specific document, data extract, or observation on which it rests.

Executes testing and builds workpapers with structured test steps and evidence linkage

Documents the specific control, evidence, result, and conclusion for every test performed

Maintains source traceability from every workpaper conclusion to its underlying evidence

Finding Documentation & Remediation Tracking

Documents audit findings with the specific control deficiency identified, the supporting evidence, the risk assessment, the recommended remediation action, and the management response, producing the complete finding record that supports both examiner review and Audit Committee reporting. Every finding is tracked through remediation to closure, with management's evidence of correction reviewed against the finding's original criteria before the finding is recorded as closed.

Documents findings with evidence, risk assessment, recommended action, and management response

Tracks every finding through remediation to closure against original finding criteria

Audits the AI agents themselves, maintaining third-line independence across the full portfolio