Regional Office Administration and Accounts: Risk and Control Matrix (Excel)
58 controls (41 key) for 13 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.
Risk Control Matrix · editable Excel · 3 sheets · ₹149 / $1.49 · lifetime access, up to 5 downloads
This matrix covers a regional or divisional sales office that supervises depots and pays their local expenses: budget monitoring, local capital requests, monitoring of depot discounts and billing, warehouse rent and leases, CFA remuneration, secondary and inter-depot freight bills, courier, maintenance contracts, travel claims, dealer trip schemes, gift purchases and stocks, dealer and influencer meets, utilities and telephones, car hire, scheme credit notes, office accounts and provisions, cash and bank, and tax compliance on payments. For every control you see what good looks like, whether it is preventive or detective, manual or automated, how often it runs and whether it is a key control, plus the walkthrough questions, evidence to request and steps to test it. Record what you find, the control owner and any gap in the same sheet: the Summary sheet counts effective, partly effective and ineffective controls by objective as you go. Written so that an auditor new to the process can use it, and detailed enough for experienced reviewers. Editable Excel.
What's inside
- Read Me: how the matrix is laid out and how to use it in an audit
- Risk-Control Matrix: 13 objectives, 14 risks and 58 controls (41 key)
- Each control: type, nature, frequency, key or supporting, and how to evaluate it
- Columns for your response, evidence seen, control owner and gap / action
- Summary sheet: results by objective, updated automatically
Topics: Administration · Sales and Marketing
Learn it on video
- How to Test with Ratios, Trends and Correlation: Worked Examples (14 min)
- Internal Controls in Everyday Business: Segregation of Duties, Approvals, Access and Reconciliations (20 min)
- How to Link Risks to Controls: The Risk and Control Matrix (RCM) (12 min)
- How to Describe Controls in the RCM: Method, Type, Frequency and Test Procedure (8 min)
- How to Test Controls (2): Test of Operating Effectiveness (7 min)
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