AI Audit Compliance Monitoring Agent

How Cassidy automates QC System Monitoring using AI

Step 1: Trigger on compliance calendar events or system alerts

The Workflow activates automatically based on your QC monitoring calendar—whether it's a scheduled UAR certification deadline, EQR gate check, independence attestation cycle, or an exception alert from your workpaper or GRC system.

Step 2: Pull evidence from connected systems

Cassidy connects to your workpaper platforms, independence tools, HR/CPE systems, and GRC/ITSM applications to automatically gather UAR results, EQR documentation, independence confirmations, ICFR testing workpapers, and SOC 1 reliance packages.

Step 3: Validate completeness and flag exceptions

The Agent checks evidence against QC 1000 requirements and PCAOB standards, identifying gaps like missing EQR concurrences, overdue documentation completion, unresolved UAR certifications, or incomplete C&A support—then routes exceptions to the right owners with SLA tracking.

Step 4: Perform structured root cause analysis

When deficiencies are identified, Cassidy applies RCA frameworks to document underlying drivers across people, process, methodology, and supervision—linking findings to specific remediation actions and scheduling follow-up monitoring.

Step 5: Generate audit-ready reports and inspection binders

Cassidy assembles comprehensive, role-specific deliverables: QC system performance reports by component, indexed inspection files with EQR evidence and key judgments documentation, ICFR testing summaries, and remediation dossiers—all mapped to PCAOB standards with traceable cross-references.