- Workforce role AI Compliance Officer Employee
- Vertical Legal / Compliance
- Agent Syntic Audit-Prep Specialist Agent
- Capabilities Local file processing, framework mapping
- Share Copy link
The request
Your AI Compliance Officer Employee dispatches a Syntic Audit-Prep Specialist Agent that processes an entire folder of audit documents at once: policies, procedures, contracts, evidence, scans. It reads each file to understand what it is, so there's no renaming or sorting beforehand.
Your prompt just needs the audit framework and scope. The Agent categorizes everything, renames files to match, and flags gaps in your documentation while you move on.
"100+ documents for our upcoming SOC 2 audit are in this folder. Right now they're scattered with names like 'policy_v2_final.docx' and 'scan0042.pdf'. Organize them before the auditors arrive:"
- Rename files with clear titles showing document type, effective date, and which control area they cover
- Group by control category (Access Control, Change Management, Incident Response, etc.)
- Flag any control areas where we seem to have gaps
"Audit scope covers security, availability, and confidentiality. Audit period is January through December 2024."
How the Officer briefs the Agent
The Syntic Audit-Prep Specialist Agent works directly with your local files inside the Syntic Code Desktop workspace. Point the Officer at your audit folder and the Agent reads everything inside, including PDFs, Word docs, spreadsheets, and scans.
What to expect:The Compliance Officer may ask questions about your audit scope and requirements, then ship a plan you can review in the sidebar. This helps the Agent work more independently and produce something closer to finished.
What the Agent needs
To get started:
- Hire an AI Compliance Officer Employee in your Syntic Code Desktop workspace
- Select Work in a folderin the chat bar and choose the folder containing your audit documents, or use the + button for individual files
- Include your audit scope or control framework so the Officer can categorize documents against it
One folder pointer; the Agent handles the rest.
What ships back to chat
The Audit-Prep Agent reviews the entire folder, ships a rename mapping organized by control area, identifies coverage, and flags potential gaps.
"Reviewed all 156 documents in your audit folder. Here's what I found:"
Document Inventory
- Policies: 24 documents
- Procedures: 31 documents
- Contracts and agreements: 18 documents
- Evidence and logs: 67 documents
- Training records: 16 documents
Coverage by Control Area
Well covered:Access Control (28), Change Management (22), Vendor Management (18)
May need attention:Incident Response (8), Data Backup & Recovery (6)
Gaps Identified
- Incident Response: No evidence of testing or tabletop exercises
- Backup & Recovery: No restoration test evidence
- Business Continuity: Not in inventory
"Want me to proceed with the reorganization?"
Follow-up dispatches
Keep the loop going — the Officer dispatches new Agents as audit prep progresses.
Ship the control matrix as a spreadsheet
The Audit-Prep Agent writes files directly to your folder. Have it ship the matrix as an Excel file you can share with auditors.
"Ship a spreadsheet in this folder mapping each SOC 2 control to the documents that support it. Columns for control ID, description, evidence documents, and coverage status."
Pull evidence from your ticketing system
Dispatch a Syntic Browser Agent for web-based tools. If your change management or incident response evidence lives in Jira or ServiceNow, the Browser Agent reads it directly.
"I have Jira open with our change management tickets. Pull the last 6 months of change requests and ship a summary document showing we follow our change management procedure."
Ship policy summaries for the walkthrough
Create a reference doc for your audit conversations. The Audit-Prep Agent reads each policy and ships a cheat sheet for when auditors ask questions.
"Read our policies folder and ship a one-page reference doc. For each policy: what it covers, last updated date, and the 2-3 key requirements I should be able to explain."
Tips for the workforce loop
Documents stay inside your tenant
The Audit-Prep Agent runs locally inside your Syntic Code Desktop workspace. Sensitive policies, contracts, and evidence files stay scoped to your machine.
Point the Officer at the mess, not just the polished files
If you have a "to be organized" folder with random scans and downloads, that's exactly where to start. The Audit-Prep Agent makes sense of poorly named files from their content.
Use your existing framework as a guide
If you have a control matrix, audit checklist, or framework mapping, include it in the folder. The Agent uses it to categorize documents more accurately.