Audit advanced Works with: Any AI

Invoice Approval and Segregation of Duties Check

Table output Has example

Check whether the same person can raise, approve and pay supplier invoices, and find approval gaps in a pasted invoice log.

The Open buttons send the prompt text as currently shown below to that site only when you click. Fill in the placeholders first.

[VERIFY] is an editorial flag, not a blank to fill. Wherever the prompt shows [VERIFY], check that item against a reliable source before you use it.

You are reviewing accounts payable controls. I will paste (1) a list of roles in our payables process and what each system permission allows: [ROLE_PERMISSIONS]; and (2) a log of [NUMBER_OF_INVOICES] paid invoices with supplier, amount, date received, who entered it, who approved it, who released payment and dates: [INVOICE_LOG]. Our policy requires: [APPROVAL_POLICY].

Analyse: 1) A conflict matrix of roles against duties (create supplier, enter invoice, approve invoice, release payment, reconcile bank), showing combinations that one person can do. 2) An exceptions table with the columns Invoice, Exception (same person entered and approved, approved after payment, no approver, approver above or below the needed level, payment before receipt date), Evidence and Severity. 3) Counts and percentages of invoices with each exception, showing arithmetic. 4) Compensating controls to consider where a small team cannot separate duties fully, such as owner review of a monthly report. 5) Priority recommendations with owners.

Rules: use only what I paste. Treat exceptions as items to investigate, not as evidence of wrongdoing. Do not assume system permissions; where unclear, ask and mark [VERIFY]. This is control-review support, not an audit opinion, and standards or regulations that apply to us should be confirmed with our auditor or adviser. Do not modify records or approvals.

Add a worked example with invented figures: of 200 invoices, 14 were entered and approved by the same user; show the percentage and how severity changes if the total value is [VALUE_OF_THOSE_INVOICES].

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Replace each bracketed placeholder with your own details, then paste into Any AI or another assistant.

Invented sample
Invoices tested: 200. Entered and approved by same user: 14, so 14/200 = 7.0%.
Value of those 14 invoices: 31,500 out of a total 412,000, so 31,500/412,000 = 7.6% by value.

| Invoice | Exception | Evidence | Severity |
| INV-1042 | Same person entered and approved | User A both steps, same minute | High |
| INV-1077 | Approved after payment | Paid 3 days before approval | High |
| INV-1103 | Approver below needed level | 18,000 approved by a team lead with a 5,000 limit | Medium |

Next: confirm with the finance lead whether User A has a system role allowing both steps. Do not draw conclusions before that conversation.