Audit Rules & Compliance Setup

What this group does

Audit Rules & Compliance Setup is the regulatory foundation layer of the Financial Audit & Fintech Ops add-on. It is architecturally the older of the add-on's two generations of screens: instead of the direct-per-record AI analysis used by the 12 newer screens across Transaction Audit & Reconciliation, Treasury & Liquidity Operations, and Payments & Clearing Execution, these 4 screens automatically adapt their generated rule sets and schemas to the selected legal jurisdiction (Turkey / US / Default). Every other sub-group in the add-on ultimately operates against the categories and rule definitions established here.

Screen preview

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Audit rules registry and compliance setup

1. Audit Rules Registry

Purpose: The master ledger of jurisdiction-specific audit rule definitions — the base rule set that every downstream audit and compliance screen in the add-on ultimately checks against.

Ledger columns / key fields

• Rule code, rule category (one of the 4 jurisdiction-schema categories: audit_rules, aml_sanctions, chart_of_accounts, regulatory_reporting)
• Jurisdiction (TÜRKPATENT-style country/regulator code — TR / US / Default jurisdiction strategy)
• Severity level (the weight a violation of this rule carries in downstream audits)
• Active / inactive status

Key actions

• Create/edit a rule definition; toggle active/inactive as regulatory requirements change
• AI-assisted rule/schema generation, automatically adapted to the record’s jurisdiction (TR / US / Default)

2. AML & Sanctions Config

Purpose: Anti-money-laundering and sanctions screening rule configuration — defines which watchlists are screened against, at what monetary threshold, and how often.

Ledger columns / key fields

• Watchlist source (the sanctions/AML list a transaction or counterparty is screened against)
• Threshold amount (the monetary trigger above which screening applies)
• Screening frequency (how often the configured check re-runs)
• Jurisdiction (TR / US / Default strategy, same as Audit Rules Registry)

Key actions

• Create/edit an AML/sanctions screening rule; adjust threshold amounts and screening cadence
• AI-assisted schema generation follows the same jurisdiction-based adaptation as Audit Rules Registry

3. Chart of Accounts Audit

Purpose: Audits the chart of accounts structure itself for compliance and completeness issues — missing account categories, malformed account codes, jurisdiction-required accounts that are absent. This is distinct from Ledger Variance Audit in the Transaction Audit & Reconciliation group, which compares an expected balance (trial balance) against an actual ledger balance on one specific line; Chart of Accounts Audit instead evaluates whether the account structure conforms to what the jurisdiction requires.

Ledger columns / key fields

• Account structure findings (missing/malformed categories or codes)
• Jurisdiction-required account checklist status
• Jurisdiction (TR / US / Default strategy)

Key actions

• Run/review a structural compliance audit of the chart of accounts
• AI-assisted schema generation to propose jurisdiction-conformant account structure fixes

4. Regulatory Reporting Setup

Purpose: Configures which regulatory reports must be filed, on what cadence, and per which jurisdiction — the filing calendar that downstream compliance tracking depends on.

Ledger columns / key fields

• Report type / regulatory filing name
• Filing cadence (frequency at which the report must be submitted)
• Jurisdiction (TR / US / Default strategy)

Key actions

• Create/edit a regulatory filing requirement; adjust cadence per jurisdiction
• AI-assisted schema generation for jurisdiction-specific filing requirements

AI Assistant — Audit Rules Registry

The Audit Rules Registry screen ships with an embedded AI Assistant — the same right-edge panel used across TotalApp. Open it from the vertical AI Assistant tab on the right of the screen; it understands what is currently on your screen and answers in Markdown, matching the language you write in (Turkish or English).

Because a rule with no regulator reference or one that has quietly gone stale can leave a real compliance gap, the assistant is tuned for rule-set health review:

• Missing regulator references — flags rules that carry no linked regulator citation.
• Stale, untested, or disabled rules — spots rules that look out of date or have been turned off.
• Coverage gaps by entity type — explains where the rule set leaves a financial entity type thinly covered.
• Severity distribution — summarizes how rule severity is spread across the registry.

Tick one or more rows in the table to scope the conversation, then use Analyze selected or Summarize selected. Any answer can be saved via Save as Report (it lands in My Reports), and Add Knowledge lets you attach reference documents to ground the reply.

AI Assistant — AML & Sanctions Config

The AML & Sanctions Config screen ships with an embedded AI Assistant — the same right-edge panel used across TotalApp. Open it from the vertical AI Assistant tab on the right of the screen; it understands what is currently on your screen and answers in Markdown, matching the language you write in (Turkish or English).

Because a poorly tuned screening threshold can bury real risk under false positives (or miss it entirely), the assistant is tuned for screening-configuration review:

• Inconsistent rule combinations — explains why a particular screening rule combination looks inconsistent.
• Threshold vs. false-positive trade-offs — discusses how tightening or loosening a threshold affects the false-positive rate.
• Weak PEP coverage — flags configurations with weak politically-exposed-person database coverage.
• Risk-tier distribution — summarizes how risk tiers are distributed across configurations.

Tick one or more rows in the table to scope the conversation, then use Analyze selected or Summarize selected. Any answer can be saved via Save as Report (it lands in My Reports), and Add Knowledge lets you attach reference documents to ground the reply.

AI Assistant — Chart of Accounts Audit

The Chart of Accounts Audit screen ships with an embedded AI Assistant — the same right-edge panel used across TotalApp. Open it from the vertical AI Assistant tab on the right of the screen; it understands what is currently on your screen and answers in Markdown, matching the language you write in (Turkish or English).

Because an unmapped or locked account can silently stall a reporting cycle, the assistant is tuned for account-structure review:

• Standard-mapping suggestions — suggests a standard mapping for accounts that are not yet mapped.
• Accounts stuck in audit-lock — flags accounts that remain locked pending audit.
• Mapping completeness — summarizes how complete the mapping is by account type.
• Jurisdiction mismatches — spots accounts whose type looks mismatched with the assigned jurisdiction.

Tick one or more rows in the table to scope the conversation, then use Analyze selected or Summarize selected. Any answer can be saved via Save as Report (it lands in My Reports), and Add Knowledge lets you attach reference documents to ground the reply.

AI Assistant — Regulatory Reporting Setup

The Regulatory Reporting Setup screen ships with an embedded AI Assistant — the same right-edge panel used across TotalApp. Open it from the vertical AI Assistant tab on the right of the screen; it understands what is currently on your screen and answers in Markdown, matching the language you write in (Turkish or English).

Because a missed filing deadline can turn into a real regulatory penalty, the assistant is tuned for filing-readiness review:

• Upcoming deadlines at risk — summarizes which upcoming filing deadlines look at risk of being missed.
• Overdue or never-filed reports — flags reports that are overdue or have never been filed.
• Readiness trends by authority — explains how compliance-readiness is trending per regulator.
• Filing prioritization — ranks filings by how many days remain until they are due.

Tick one or more rows in the table to scope the conversation, then use Analyze selected or Summarize selected. Any answer can be saved via Save as Report (it lands in My Reports), and Add Knowledge lets you attach reference documents to ground the reply.

Architectural note: jurisdiction-adaptive generation vs. the newer generation

All 4 screens in this group share one distinguishing trait that sets them apart from the other 12 screens in the add-on: their AI-assisted schema/rule generation automatically adapts to the selected jurisdiction. It produces one of three jurisdiction-specific outputs — TR, US, or Default — each shaped for that jurisdiction’s regulatory conventions.

This contrasts with the direct-per-record analysis used by the 12 newer-generation screens (Transaction Audit & Reconciliation, Treasury & Liquidity Operations, Payments & Clearing Execution), where each screen runs its own dedicated audit against a single record, routed purely by the user’s selected AI engine rather than by jurisdiction. Both generations share the same AI-engine-based routing for the second AI-synthesis stage (Ollama/local-LLM/web-LLM stay client-side; API goes to the server, and every call is logged) — the difference is specifically in how the AI-assisted generation itself is structured: jurisdiction-adaptive here, versus record-level analysis elsewhere.

Pages in this section

• Overview
• Operational Setup
• Roles & Capabilities
• Screen Workflows
• Transaction Audit & Reconciliation
• Treasury & Liquidity Operations
• Payments & Clearing Execution
• Secure File Transfer

Frequently Asked Questions