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Substantive Testing

Review

Firm Quality

A connected QMS workspace for audit firms to assign responsibilities, define quality risks and responses, operate tasks, monitor deficiencies, and complete annual evaluations.

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Substantive testing by Finspectors

The Problem

QMS is

too Manual

Most audit firms manage their quality management system across Word documents, spreadsheets, emails, shared folders, manual reminders, and disconnected evidence trails.
Scattered Information
Quality objectives, risks, policies, procedures, and task evidence often live in separate files with no clear linkage
‍
Weak Accountability
Responsibilities may be assigned on paper, but acceptance, confirmation, ownership, and follow-up are hard to track.
‍
Limited Visibility
Partners and QMS owners struggle to see overdue tasks, open deficiencies, remediation status, and annual evaluation readiness in one place
Finspectors.ai
One flow for
Firm Quality
Done
Assign
Define ultimate responsibility, component owners, independence roles, monitoring roles, and custom QMS responsibilities.
Done
Design
For automated data retreival and review
Done
Operate
Audit grade workpapers with flagged misstatements
Done
Monitor
Audit grade workpapers with flagged misstatements
Done
Get Results
Audit grade workpapers with flagged misstatements

QMS Workspace

Everything your firm

Need to run QMS

Objectives | Risks | Policies | Procedures | Tasks 
Design Your QMS
Build your firm’s quality management structure by defining objectives, risks, policies, procedures, and tasks in one connected chain.
Done
Mandatory and firm-specific quality objectives
Done
Quality risk identification and scoring
Done
Policy and procedure response mapping
Done
Task definitions linked to procedures
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Table showing a preview of invoice extraction with columns for Invoice #, Date, Amount, Vendor Name, and PO#. Example entries include INV-1001 dated 2025/01/06 for $15,300 from Studio Shop.
Table comparing Input and Output dollar amounts with a Difference column showing $300, $0, $346, $0, $0, $0, $1,690, $4,150, and $0 differences highlighted in red, green, and blue backgrounds.
Instant validation
Catch Errors Effortlessly
Personal QMS task dashboard
Due dates and reminders
Evidence upload and declarations
Completion status and audit trail
Monitoring plan | Findings | Root cause | Remediation | Deficiency register 
Monitor Deficiencies
Plan monitoring activities, execute work programmes, record findings, perform root cause analysis, and track remediation to closure.
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Done
Monitoring programme planning
Done
Work programme execution
Done
Findings and root cause analysis
Done
Deficiency register and remediation tracking
User interface displaying a three-step process with tabs labeled Input, Source, and Rules; showing output columns settings for Invoice # with Verify operation and Hash data type, and Date with Verify operation and Date data type, each having result placement options.
Evaluation form | Component ratings | Conclusion | Sign-off | PDF archive 
Evaluate Annually
Complete the annual QMS evaluation with data from monitoring and operations, document the conclusion, sign off, and archive the final PDF.
Done
Auto-populated monitoring results
Done
Component effectiveness assessment
Done
Firm circumstance review
Done
Signed evaluation PDF archive
Book a Demo
Table showing a preview of invoice extraction with columns for Invoice #, Date, Amount, Vendor Name, and PO#. Example entries include INV-1001 dated 2025/01/06 for $15,300 from Studio Shop.

Accountability

Evidence Built into

Every Step

Finspectors helps firms create a clear trail of responsibility, review, approval, completion, remediation, and evaluation across the QMS lifecycle.
Connected Traceability
Link objectives, risks, policies, procedures, tasks, findings, remediation, and evaluation.
Document Evidence
Capture task evidence, declarations, notes, findings, root causes, remediation updates, and sign-offs.
Audit-Ready History
Preserve version history, approval logs, publish records, deficiency registers, archived evaluations, and PDF exports.
Clear Ownership
Assign and confirm QMS responsibilities with documented acceptance and UR holder review.

Real-Time Visibility

See the Health of

Your Firm's QMS

Give QMS owners, component owners, and leadership a clear view of task completion, overdue responsibilities, open deficiencies, remediation status, and annual evaluation readiness.
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