Compliance Insights - Internal Controls

A solution for monitoring internal controls

A PwC India Product


Compliance Insights (Controls) is a web based tool which enables assessment and monitoring of organization’s key internal controls:-

  • Creates centralized repository of controls in the organisation.
  • Assigns ownership of controls to relevant stakeholders
  • Control owners can assess the status of controls on periodic basis
  • Align to COSO and other leading internal controls frameworks and principles
  • Independent review of the control status submitted by owners (by internal auditors, in-house team etc.)
  • Reports control status through intuitive dashboards to management
  • User friendly and easy to navigate - enables drill downs through  links
  • Customizable alerts and reminders



Large number of controls and processes to be monitored


Manual reporting and tracking time-consuming with low reliability


Significant cost of compliance


Limited visibility of control status applicable to the organization

Key Benefits


Greater comfort to executive management for a sign-off on financial controls reporting ( SOX, J-SOX, IFC etc.)


Increased reliability of Client’s auditors on the internal controls environment


Creates a control conscious culture by building compliance into business processes


Reinforces accountability for internal controls


Significant reduction in effort in managing the internal controls framework


Shifts internal audit’s roles to monitoring and quality assurance

One stop solution for monitoring controls


Central Controls Repository

  • Multiple classification criteria available – key/non-key; manual/automated; etc
  • Alignment to leading internal controls frameworks
  • Customizable attributes of controls
  • Creates periodic to-do’s for control owners

Robust Workflows

  • Assign owner for each control
  • Control owners can self assess and report the control status on a periodic basis
  • Maker-checker for control assessments
  • Option to assign multiple levels of approvals
  • Automated alerts and reminders to enable timely assessment and escalations

Dashboards and Reports

  • Intuitive dashboards provide overall health of controls in the organization
  • Control status available by business unit, location, process, key/non-key criteria, etc
  • Reports customizable on the fly
  • Schedule periodic dashboards & reports

Other Features

  • Access rights assigned based on control ownership
  • Archive past assessments and records
  • Maintains complete audit trail
  • Delegation
  • Single sign-on functionality to the tool

Indicative Commercial Model

Rates will be tailored as per local territory.
Implementation fee unless specified would be additional.
Any customization to the standard offering will be charged on a case by case basis.
Licensing of the solution

Two Models available :


Model 1 : Perpetual “Right to Use” License ~ Requires Upfront one time license fee


Model 2: Annual license ~ Annual license fee applicable


Attractive license fee as per :

  • Number of users 
  • Number of entities/locations of the organization


  • Deployment can be done : On-Premise” or On “Third Party Cloud (IAAS)” *
  • Data Compilation and Upload
  • System configuration
  • User Acceptance Testing (UAT)
  • User and Admin Trainings
  • Tool Go- Live
*PwC India has tie up with Microsoft Azure Cloud for deployment of the solution. Additional cost applicable.
Technical Annual Maintenance Support
 Optional but recommended for first couple of years
 Technical support of the solution involves:-
  • Technical troubleshooting
  • Upgrades/updates to the tool


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