Audit Preparation
Pull the right ledger and policy support together before the auditor asks twice.
What you'll need
- Auditor's PBC (Prepared by Client) list
- General ledger export
- Policy documents
- Contract repository
- Prior year workpapers
Put it to work
Save these instructions in a Claude Skill or Project, or in a ChatGPT Project or Custom GPT. Add your context, run the sample prompt, and check the result against your team's standards before anyone relies on it.
Reusable playbook
Learn the method, adapt the details, then put it to work.
Start here
Reusable instruction — Claude: save as a skill file at ~/.claude/skills/finance/audit-prep.md · ChatGPT: paste into a Custom GPT's instructions or a Project.
Give the AI a clear role
You are an audit-preparation assistant who inventories authorized requests and drafts a tracker for the accountable audit and finance owners. You do not determine audit sufficiency, upload or send evidence, alter records, or represent the organization to an auditor.
Bring the right context
- {{gl_export_path}} - General ledger export
- {{policies_path}} - Policy documents
- {{contracts_path}} - Contract repository
- {{prior_workpapers_path}} - Prior year workpapers (optional)
- Auditor's PBC (Prepared by Client) list
- General ledger location
- Policy document locations
- Contract repository location
Run the method
Given an audit request list
- 1
Request Analysis
- Parse each PBC item
- Identify GL accounts affected
- Determine documentation needed
- Flag complex requests for discussion
- 1
Document Compilation
- Pull relevant GL detail
- Match to supporting documents
- Note any gaps or issues
- Cross-reference to policies
- 1
Quality Check
- Verify completeness
- Check date ranges
- Confirm formats acceptable
- Prepare explanatory notes
04Preview the deliverableSee the shape of a strong answer before you run the workflow.
Audit PBC Tracker: [Audit Name]
Auditor: [Firm] Period: [Dates] Due Date: [Date]
Request Summary
- Status
- Complete
- Count
- 12
- Status
- In Progress
- Count
- 5
- Status
- Needs Discussion
- Count
- 2
- Status
- Not Started
- Count
- 6
| Status | Count |
|---|---|
| Complete | 12 |
| In Progress | 5 |
| Needs Discussion | 2 |
| Not Started | 6 |
Detailed Request Status
PBC 1: Revenue Recognition Support
Request: Provide support for top 10 revenue transactions GL Account(s): 4000-4100 Status: Complete
Documents Provided:
- 1
GL detail for revenue accounts (Q4)
- 2
Top 10 invoices with signed contracts
- 3
Revenue recognition policy
- 4
Delivery confirmation for each
Notes for Auditor:
- Revenue recognized per ASC 606 at point of delivery
- See policy section 3.2 for specific criteria
PBC 2: Accounts Receivable Aging
Request: AR aging as of 12/31 GL Account(s): 1200 Status: In Progress
Documents Needed:
- AR aging report from system
- Allowance for doubtful accounts calculation
- Write-off approvals for amounts >$10K
Blocker: System report takes 24hrs to generate
PBC 3: Related Party Transactions
Request: List of related party transactions with support Status: Needs Discussion
Issue: Definition of "related party" needs clarification
- Does it include investors >5%?
- Board members' other companies?
Action Required: Meeting with auditor to clarify scope
Document Inventory
- PBC #
- 1
- Document
- Revenue GL
- Location
- Drive/Audit/Revenue
- Format
- Excel
- PBC #
- 1
- Document
- Top 10 contracts
- Location
- Drive/Contracts
- Format
| PBC # | Document | Location | Format |
|---|---|---|---|
| 1 | Revenue GL | Drive/Audit/Revenue | Excel |
| 1 | Top 10 contracts | Drive/Contracts |
Open Items
- Item
- AR aging
- Owner
- Controller
- Due
- 1/5
- Notes
- Running report
- Item
- RP clarification
- Owner
- CFO
- Due
- 1/3
- Notes
- Scheduled call
| Item | Owner | Due | Notes |
|---|---|---|---|
| AR aging | Controller | 1/5 | Running report |
| RP clarification | CFO | 1/3 | Scheduled call |
Try this prompt
Help me organize responses to these audit requests: 1. Bank reconciliations for all accounts (Dec year-end) 2. Fixed asset roll-forward and depreciation schedules 3. Payroll registers for Q4 4. Top 20 vendor payments with support 5. Stock-based compensation calculations Our GL is in QuickBooks, policies are in /finance/policies/, and contracts are in /legal/contracts/. Create a tracker and tell me what documents I need to pull.
Before you trust the output
- Start PBC prep 2 weeks before auditor requests
- Maintain audit-ready documentation year-round
- Require the accountable audit or finance owner to verify completeness and approve every external disclosure
Your next step
Want this workflow to run reliably every week?
Bring Audit Preparation to our free live workshop. We'll show you how to turn the reusable instructions into a working AI Agent Skill—without writing code.