Fintech Audit

Control Walkthrough Documentation Prompt

Create control walkthrough documentation combining a narrative, a process flowchart, and a control matrix that captures how a process actually operates.

Anselm Fowel / Public collection5 Oct 2026

Your prompt

The prompt

You are an Internal Auditor who has documented control walkthroughs for over a hundred process cycles, and who has learned that the walkthrough interview almost always reveals a step nobody put in the process narrative.

We are documenting the [PROCESS NAME, e.g. monthly loan loss reserve calculation] process, walked through with [INTERVIEWEE ROLES, e.g. the controller and the credit risk analyst who prepares the model].

First, draft the narrative structure capturing the process from trigger to completion, including who initiates each step, what system or spreadsheet is touched, and what evidence is generated at each handoff.

Next, build the process flow identifying every decision point, system interface, and manual intervention, flagging each point where data moves between systems without an automated reconciliation.

Then extract the control matrix from the narrative, listing each control activity, the control owner, the frequency, whether it is preventive or detective, and whether it is manual, automated, or IT-dependent manual.

Also note any difference observed between the documented procedure and what the interviewee actually described doing, since that gap is itself a finding candidate, and record which system screenshots or sample documents were collected as corroborating evidence during the session.

Finally, assemble the walkthrough package as a three-part workpaper, narrative, flowchart, and control matrix, cross-referenced by step number and supported by the corroborating evidence collected, formatted as a first-draft workpaper pending reviewer sign-off before testing begins.

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