Design, test, and assure controls with verifiable history across the full control lifecycle.

Controls & Assurance connects to Trigarc Risk and Compliance on one data model—central control library, testing, exceptions, and assurance views across three lines of defence.

Request Demo See All Modules

What it actually does

Maintains a unified control library with ownership, frequency, evidence requirements, and linked risks and obligations.
Schedules and executes control tests by control type, function, entity, and review period.
Tracks exceptions, root causes, remediation plans, and retest outcomes with hard closure rules.
Provides assurance views across first, second, and third-line activities for management and board oversight.

Who uses it

Control owners and process owners
Second-line risk and compliance assurance teams
Internal Audit quality assurance teams
Operational risk teams
Executive and board oversight stakeholders

Key workflows

Control lifecycle management

Define control objective, owner, execution frequency, and evidence expectations.
Map control to risks, obligations, and processes.
Schedule test cycles with testers, reviewers, and due dates.
Record outcomes, classify exceptions, and assign remediation.
Retest remediated controls and confirm closure with reviewer approval.

Exception governance workflow

Capture failed test evidence and classify exception severity.
Assign corrective action plan with accountable owner and target date.
Track progress with milestone updates and escalation conditions.
Retest and close only when objective evidence meets defined criteria.

Data inputs and outputs

Inputs

Control library and process documentation
Risk and obligation mappings
Test scripts and sampling plans
Evidence files and system activity logs
Exception and remediation records

Outputs

Control effectiveness dashboard
Exception and remediation trend reports
Control coverage maps by entity and process
Assurance summaries for management and board committees
Time-stamped control test history exports

Feature breakdown

Control library configurability

Institutions define control classes, test methods, and review cadence based on their operating model and risk profile.

Evidence-backed testing

Each test run captures linked evidence, tester decisions, reviewer sign-offs, and retest outcomes.

Exception closure discipline

Closure policies enforce remediation evidence and approval gates before a control returns to effective status.

Three-lines assurance visibility

First-line execution, second-line monitoring, and third-line assurance outputs are visible in one control context.

Example use cases

A bank centralizes branch cash-handling controls and tracks control failures with multi-region remediation accountability.
A microfinance group standardizes credit approval controls across field offices while preserving product-specific test checklists.
An insurer monitors claims processing controls and escalates repeated exceptions to enterprise operations leadership.

Measurable outcomes

20-35% reduction in control testing rework through standardized templates and evidence capture.
Faster exception remediation through accountable workflow and escalation rules.
Improved assurance quality with consistent retest and closure governance.

Request Demo Talk to a GRC Specialist

Related modules

Continue exploring the Trigarc platform

Each module shares one configurable data model. Add only what your institution needs today, and expand without rebuilding workflows.