IT Governance Review for an Insurance Institution
IT Governance Review for an Insurance Institution
From repeated audit findings to clearer ownership, better evidence, and stronger IT accountability.
Recurring Findings → Root Cause Review → Control Owner Matrix → Evidence Matrix → Management Roadmap
A regulated insurance institution had recurring IT audit findings. The company already had policies and controls, but many processes were informal or inconsistently documented. The bigger issue was not always that the control did not exist. The issue was that the company could not always prove the control clearly during audit.
Recurring audit findings
Evidence scattered across email/chat/folders
Unclear IT and business ownership
Weak follow-up tracking
- SOPs existed but were not always followed consistently
- Approval evidence was scattered across email, chat, and local folders
- IT and business ownership was unclear for several controls
- Access review was performed, but evidence was incomplete
- Change management records were not standardized
- Incident follow-up tracking was weak
- Vendor-related evidence was not centralized
Reviewed audit reports, past findings, SOPs, and management responses.
Mapped how access, change, incident, backup, vendor, asset, and IT monitoring processes worked in daily operations.
Clarified control owners, approval flow, evidence requirements, and escalation paths.
Built a practical evidence matrix and grouped recurring findings into improvement themes.
Prepared a management-level improvement roadmap and reporting structure.
Figures are anonymized and may be adjusted based on final approved project data.
- Audit evidence difficult to trace
- SOP implementation inconsistent
- Findings handled one by one
- IT risk visibility limited at management level
- Evidence matrix structured
- Control ownership clarified
- Findings grouped into improvement themes
- Management received clearer IT risk roadmap
Capio helped the client reduce audit friction by turning scattered IT activities into clear governance, traceable evidence, and management-ready improvement actions.