Internal & External Audit
Audit-ready lineage for SOX and BCBS 239. A prompt-level audit trail links every question to its source and result, so responding to a PBC list or an evidence request means retrieving a record instead of assembling one.
Get guided setupA complete evidence chain for every answer, not a reconstruction project
Internal and external audit teams need to reconstruct how a specific answer was produced: who asked, what definition applied, what query ran, and what the result was. This is essentially information produced by entity, IPE in audit terms, generated as a byproduct of every query rather than assembled specifically for the auditor after the fact. QuaerisAI captures this as a linked, prompt-level audit trail automatically, rather than requiring a manual investigation across separate systems.
Access is enforced at query time rather than filtered after the fact, which means the audit trail reflects genuine permission enforcement, not just a log of what happened.
Benefits
This agent framing helps audit teams review evidence without reconstructing it manually first.
- Time efficiency: Retrieve a complete evidence chain instead of manually reconstructing one across systems.
- Consistent definitions: Every audited figure resolves through the same certified, versioned definition.
- Traceable answers: Every result links back to its prompt, source, and access record.
- Governed access: Permissions are enforced at query time, not filtered after the fact.
- Review readiness: Evidence is available on demand, without a preparation cycle before an audit.
- Regulatory alignment: The audit trail is built with frameworks like SOX and BCBS 239 in mind.
Problem addressed
Reconstructing how a specific number was produced typically means piecing together separate logs: a chat or query log, a database log, an access log, and sometimes a model log, each maintained independently. When an auditor asks how an answer was produced, that reconstruction work happens manually, often under time pressure.
A prompt-level audit trail removes the reconstruction step by capturing the full chain automatically: the question, the definition, the query, the sources, the result, and the access context, linked together from the start.
What the agent does
- Captures a linked audit trail for every question, automatically
- Enforces access permissions at query time, not after the fact
- Records the certified definition applied to every query
- Makes the evidence chain retrievable without manual reconstruction
- Aligns audit trail structure with frameworks such as SOX and BCBS 239
Why do this with AI
Audit evidence is only useful if it can be reconstructed reliably, and manual reconstruction across separate logs introduces both delay and risk of error. An agent that captures the full chain automatically, at the time the query runs, removes that reconstruction risk entirely.
Instead of spending review time piecing together what happened, audit teams can spend it evaluating whether what happened was appropriate.
Who this agent is for
- Retrieve a complete audit trail without manual reconstruction
- Trust that access was enforced at query time, not filtered afterward
- Review evidence aligned with SOX and BCBS 239 expectations
- Reduce audit preparation time before a formal review
- Reconstruct how any specific answer was produced, on demand
How it works
The agent resolves each question through the same governed pipeline as every other QuaerisAI agent: identity and permissions are checked first, the question is mapped to certified definitions, a governed query runs against the source data, and the result is returned with a full audit record attached.