Compliance and SOX Audit AI Primer

Compliance / SOX / audit · Module 7

How to evaluate AI-augmented audit tooling

For audit-firm partners and SOX leaders who want to learn from demos without getting captured by them.

A useful demo shows one clean path. A useful evaluation asks what happens when evidence is incomplete, access is constrained, or the AI output conflicts with reviewer judgment.

Ask what the tool reads, what it writes, how it cites evidence, how uncertainty is shown, how human review is retained, and whether the workflow can be reconstructed later.

I read all of this - what now? Bring a non-sensitive workflow slice to the evaluation and make the tool earn trust under audit constraints.

How to evaluate AI-augmented audit tooling domain diagram
Draft for review: A practical evaluation checklist for audit-grade AI tooling before it touches evidence workflows.

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Scaffold source: docs/runbooks/phase-2-finance-compliance.md#e021