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Compliance Audit Services

Independent verification of legal, regulatory, and policy adherence to safeguard your business.

Unlike statutory or tax audits (focused on law-mandated compliance), a Compliance Audit evaluates whether the organization is following applicable laws, rules, regulations, and internal policies across all areas.

Why Compliance Audit Matters

Every business is subject to multiple laws, regulations, and internal policies. Non-compliance can lead to:

Heavy penalties, fines, and litigations
Loss of licenses/registrations (GST, PF, ESIC, FSSAI, etc.)
Reputational damage with regulators, investors, and stakeholders
Disruption of operations due to regulatory action

A Compliance Audit provides assurance that your business is adhering to all applicable statutory and internal requirements — preventing risks before they become problems.

Our Compliance Audit Services

Regulatory Compliance Check - GST, Income Tax, PF, ESIC, PT, Shops & Establishment, FEMA, SEBI, RBI, and more
Companies Act & ROC Compliance - Filing requirements, board meetings, resolutions, registers
Labor Law Compliance Audit - PF, ESIC, gratuity, wages, maternity benefits, etc.
Industry-Specific Compliance - FSSAI, RERA, Drugs & Cosmetics Act, etc.
Internal Policy Compliance - Adherence to HR policies, procurement SOPs, and internal controls
Risk & Gap Assessment - Identify areas of potential non-compliance
Corrective Action Advisory - Practical recommendations to strengthen compliance frameworks
Audit Reporting - Independent audit report for management & regulators

Why Choose FinnovateAI?

CA + Legal Expert-Led - Multi-disciplinary team covering financial, legal, and labor laws
Comprehensive Coverage - From ROC to GST to labor laws, one-stop compliance review
Preventive Approach - Identify risks early, avoid penalties & litigation
Tailored Frameworks - Customized checklists for your business & industry
Independent & Objective - Trusted by boards, lenders, and investors
Tech-Enabled Audit - Use of compliance dashboards & tracking tools

Our Process

Scoping - Identify applicable laws & policies for your business
Data Review - Collect filings, registers, licenses & internal policies
Testing & Verification - Evaluate compliance with statutory timelines & obligations
Gap Identification - Highlight missed filings, lapses & risks
Audit Report & Advisory - Detailed compliance status with corrective actions

Who Needs It?

Private & Public Companies - Ensuring Companies Act & ROC compliance
Startups & SMEs - Building compliance culture from the beginning
Corporate Groups - Multi-entity, multi-location compliance management
Banks, NBFCs & Regulated Entities - RBI/SEBI compliance requirements
NGOs & Trusts - Donor and regulatory compliance assurance