Governance & Controls
Most finance teams assume their controls are working because nothing has gone wrong yet. That is not the same as knowing. Governance & Controls applies transaction data analysis to your D365 control environment — giving the CFO evidence, not assumption, that the framework is operating as designed.
The Challenge
The Controls Confidence Gap
Periodic audits sample a fraction of transactions. Manual reviews rely on the people who operate the controls to report on them. Segregation of duties is configured at go-live and rarely revisited. By the time a control failure surfaces, it has usually been present for months — visible in the data, invisible to the team.
How It Works
What Governance & Controls Delivers
A continuous, evidence-based view of your D365 control environment — identifying gaps, conflicts, and deviations across every transaction, before they become audit findings, regulatory issues, or board conversations.
1
Segregation of Duties Analysis
Mapping actual user behaviour across D365 against your defined SoD framework — identifying conflicts between roles, responsibilities, and system access that create financial or regulatory exposure.
2
Control Framework Conformance
Comparing live transaction behaviour against your designed control framework across P2P, O2C, and R2R — quantifying where controls are operating as designed and where they are not.
3
Continuous Control Monitoring
Replacing periodic control testing with permanent, data-driven oversight across every transaction — flagging deviations in real time rather than discovering them at the next audit cycle.
4
Anomaly Detection
Surfacing behavioural patterns across AP, AR, and GL transactions that fall outside normal parameters — identifying control bypass, unusual approval patterns, and duplicate exposure before they become financial loss.
5
Audit Readiness
Producing an evidence-based view of control effectiveness across your finance operation — giving internal and external auditors a transaction-level foundation rather than a sample-based one.
6
Regulatory & Policy Compliance
Testing whether D365 transaction behaviour aligns with internal policy and relevant regulatory requirements — identifying gaps between what the policy states and what the data shows is actually happening.
Key Outcomes
From Data to Assurance
Governance & Controls engagements are scoped, fixed-fee, and grounded in transaction data from your D365 system. No interviews. No sampling. No disruption to your finance team.
Connect
We access your D365 event log directly, establishing the actual pattern of control behaviour across your finance operation before any assessment is made.
Analyse
Control gaps, SoD conflicts, and behavioural anomalies are identified and ranked by financial, regulatory, and operational impact.
Report
Findings are delivered in a clear, board-ready format with specific recommendations tied to the controls that matter most to your CFO and your auditors.
Remediate
Where gaps require action, we scope targeted remediation workstreams — reconfiguring access, tightening approval workflows, or deploying monitoring rules within D365.
Get in touch
Read to add independent protection to your implementation?
Schedule a 30-minute discovery call to discuss your situation and how Retained Advisory can provide the independent perspective you need.
Get in touch
Let’s discuss how independent assurance, finance-led delivery, and practical optimisation can unlock measurable value from your Dynamics 365 investment.
Book a free consultation
By submitting this form you agree to our Privacy Policy. Tierpoint Partners may contact you via email or phone for scheduling or marketing purposes.
