Comprehensive internal audit support for insurance companies and agencies
Updated: July 2025, 10
For insurance companies and insurance agencies seeking to strengthen their internal control systems and governance"Support for building, implementing and improving internal audit systems"Until,Comprehensive internal audit supportI am doing.
Audit agency for dozens to hundreds of sales offices and agents nationwideetc. are also possible.
If your in-house audit department tends to lack the manpower and time, or if audits tend to become a mere formality, please contact us.
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An insurance company with multiple offices and insurance agents nationwide
An insurance company that wants to ensure the effectiveness of internal audits of insurance agents
Insurance agencies who want to prevent risks such as administrative sanctions
Insurance companies and insurance agencies that want to make up for a lack of internal audit resources
Businesses that want to reduce risks in the insurance business by utilizing outsourcing
In the insurance industry, there have been cases of fraudulent insurance claims, such as the Big Motor Incident, and cases of inappropriate premium adjustments at major insurance companies.Compliance violations discovered one after another. Most recentlyCase of administrative sanction against a major insurance agencycontinues, and the insurance industry as a wholeStrengthening internal control and governance is an urgent needHas become.
In response to this situation, not only insurance companiesStrengthening internal control systems at insurance agenciesIn order to achieve this, and from the perspective of ensuring its effectiveness,The importance of "internal audits" is gaining attentionIt is done.
Our Services
[1] Formulating an internal audit plan
We will propose the optimal audit plan and schedule based on your company's number of sales offices, agents, contracts, etc.
Depending on the number of locations to be audited and their actual business operations, the main audit locations and audit items may be limited. We plan internal audits that are suited to your company's circumstances, including conducting efficient fact-finding using interview sheets.
We will also determine an audit team of several people to conduct your internal audit.
[2] Preliminary investigation (off-site check)
Conduct a pre-audit of pre-submitted documents (company regulations, legal books, various plans and reports, etc.) and public information
Checking compliance with laws and regulations based on laws, regulations, and supervisory guidelines
We will understand your company's business details and actual situation through interviews and identify high-risk agencies, etc.
[3] On-site inspection
Our audit team visits sales offices and agencies directly and conducts on-site inspections.
Physical check of contracts and other solicitation, recruitment, and customer-related materials (sampling method)
Confirmation of actual work conditions and appropriateness of work through on-site observation
Interviews with sales managers and compliance managers
Confirmation of other important audit items (e.g., customer suitability, special benefits, complaint and accident handling, etc.)
[4] Audit results report
We will deliver an audit report summarizing any issues or concerns identified during the on-site inspection.
If necessary, we will provide an explanation (report) including examples of administrative sanctions, etc.
Hold a review session (online or in person) and report the audit results to the relevant parties.
[5] Follow-up support
Formulating an improvement plan for the issues and concerns pointed out this time
Providing advice and examples of specific improvement methods
Support for implementation based on improvement plans (creating internal regulations, reviewing accounting documents, sharing information internally, etc.)
Confirmation of completion of improvements and completion report to relevant parties
Benefits of requesting
[1]Audit and objective evaluation by a third party independent from your company
Internal audits conducted by internal companies and related parties are often ineffective due to considerations of the workplace and biases among those in charge. From your businessIndependent "internal audit by a third party"ThroughObjective evaluationThis will help ensure the effectiveness of the internal control system.
Our company has many years of experience in managing licenses and permits and providing compliance support for businesses that are subject to multiple laws and regulations, such as the Insurance Business Act, the Personal Information Protection Act, and the Act on Prevention of Transfer of Criminal Proceeds. We have also conducted numerous internal audits and on-site investigations, and employ several specialized staff members with specialized experience and know-how. We will support you with a multi-person audit team tailored to your company's internal audit.
[2]Achieve effective use of internal resources, focus on core business, and reduce risk
Internal audits require a certain amount of time, including preparation time, and require a burden on the entire company, and in many cases companies have difficulty securing and training personnel with the specialized knowledge and experience. By utilizing external audits (outsourcing), your company can:Minimal in-house resourcesでEffective auditsandFocus on your core business
Furthermore, looking at recent cases of administrative sanctions, many of the criticisms have delved into the actual state of internal management. By introducing external/third-party audits, we can ensure that there is no bias towards the workplace.Identify your company's business operations, administrative dispositions, etc.Reduce risk
