Auditability & Traceability - AMOS Data Platform Documentation

Complete Transparency for Regulatory Confidence

In the highly regulated fund management industry, auditability isn’t optional—it’s essential. Amos provides unprecedented transparency through open source practices, version-controlled configurations, and comprehensive audit trails that exceed traditional vendor capabilities. Every data transformation, configuration change, and system access is tracked, versioned, and auditable.

Version-Controlled Configurations

Git-Based Configuration Management

All Amos configurations are stored in Git repositories, providing complete change history and accountability:

# Example: Fund configuration with full audit trail
fund_configuration:
  version: "2.1.3"
  last_modified: "2024-01-15T10:30:00Z"
  modified_by: "[email protected]"
  approved_by: "[email protected]"
  
  data_sources:
    fund_admin:
      system: "SS&C Advent"
      connection_type: "API"
      refresh_schedule: "daily_6am"
      data_retention: "7_years"
      
  transformations:
    nav_calculation:
      model: "models/nav/daily_nav.sql"
      version: "1.2.1"
      last_tested: "2024-01-14T15:45:00Z"
      test_results: "all_passed"

Change Audit Trail

Every configuration change creates a permanent audit record:

Who Changed What

Complete identity tracking for every modification with digital signatures and approval workflows.

When Changes Occurred

Precise timestamps for all changes with timezone and system correlation information.

Why Changes Were Made

Required change descriptions, ticket references, and business justification documentation.

How Changes Were Tested

Automated test results and validation evidence before production deployment.

End-to-End Data Lineage

Complete Data Flow Visibility

Amos automatically tracks data lineage from source systems through all transformations to final reports:

Lineage Documentation

For every data element in your reports, you can trace:

Audit Question	Amos Answer	Evidence Location
Where did this data originate?	Source system, table, and field identification	`lineage/source_mapping.json`
How was it transformed?	Complete transformation logic and business rules	`models/transformations/*.sql`
When was it last updated?	Exact refresh timestamps and processing duration	`logs/pipeline_execution.log`
Who approved the logic?	Code review history and approval signatures	`git log --show-signature`
What tests validated it?	Automated test results and data quality checks	`tests/results/*.json`

Reproducibility & Evidence Packs

Reproducible Builds

Every Amos deployment and data processing run is completely reproducible:

Infrastructure Reproducibility

# Terraform state shows exact infrastructure configuration
terraform {
  required_version = "1.6.0"
  
  backend "s3" {
    bucket = "your-fund-terraform-state"
    key    = "amos/production/terraform.tfstate"
    region = "us-east-1"
  }
}

# Exact versions of all components
module "amos_platform" {
  source  = "github.com/amos-platform/terraform-modules?ref=v2.1.3"
  version = "2.1.3"
  
  # Pinned dependency versions
  kubernetes_version = "1.28.4"
  airflow_version   = "2.7.3"
  dbt_version       = "1.6.8"
}

Data Processing Reproducibility

# dbt project configuration with exact versions
name: 'fund_data_platform'
version: '1.2.1'

require-dbt-version: ">=1.6.0,<1.7.0"

# Exact package versions
packages:
  - package: dbt-labs/dbt_utils
    version: 1.1.1
  - git: "https://github.com/amos-platform/fund-models.git"
    revision: "v2.1.3"

# Reproducible seed data and test data
seeds:
  fund_data_platform:
    +materialized: table
    +schema: reference_data
    +meta:
      version: "2024.01.15"
      checksum: "sha256:a1b2c3d4..."

Evidence Packs for Audits

Amos automatically generates comprehensive evidence packs for audits and regulatory reviews:

Configuration Evidence

Complete system configuration with version history, change approvals, and test results.

Data Processing Evidence

Transformation logic, data quality results, and processing execution logs with timestamps.

Access Control Evidence

User access logs, permission changes, and security control validation results.

Change Management Evidence

Pull request history, code reviews, approval workflows, and deployment records.

Comprehensive Audit Logs

System Access Logging

Every interaction with the Amos platform is logged with complete context:

{
  "timestamp": "2024-01-15T14:30:15.123Z",
  "event_type": "data_access",
  "user_id": "[email protected]",
  "user_role": "portfolio_analyst",
  "resource": "investor_performance_report",
  "action": "view",
  "ip_address": "10.0.1.45",
  "session_id": "sess_abc123def456",
  "request_id": "req_789xyz012",
  "data_classification": "confidential",
  "success": true,
  "response_time_ms": 245
}

Data Processing Logs

All data transformations include detailed execution logs:

{
  "pipeline_run_id": "run_20240115_143015",
  "model": "nav_calculation",
  "start_time": "2024-01-15T14:30:15Z",
  "end_time": "2024-01-15T14:32:18Z",
  "status": "success",
  "records_processed": 15847,
  "data_quality_checks": {
    "completeness": "100%",
    "accuracy": "99.98%",
    "timeliness": "within_sla"
  },
  "source_data_versions": {
    "fund_admin": "2024-01-15_06:00:00",
    "portfolio_system": "2024-01-15_05:45:00"
  },
  "git_commit": "a1b2c3d4e5f6789",
  "infrastructure_version": "v2.1.3"
}

Regulatory Compliance Support

SOC 2 Type II Alignment

Amos audit capabilities directly support SOC 2 compliance requirements:

SOC 2 Criterion	Amos Capability	Evidence Available
Security	Access controls, encryption, monitoring	Access logs, security configurations
Availability	Infrastructure monitoring, disaster recovery	Uptime logs, backup verification
Processing Integrity	Data quality checks, transformation validation	Test results, processing logs
Confidentiality	Data classification, access controls	Access logs, encryption evidence
Privacy	PII handling, data retention policies	Data flow documentation, retention logs

LP Due Diligence Requirements

Limited Partners increasingly require detailed operational transparency:

Operational Risk Assessment

System Architecture: Complete infrastructure documentation
Data Governance: Policies, procedures, and control evidence
Change Management: Process documentation and execution evidence
Business Continuity: Disaster recovery and backup procedures

Data Security & Privacy

Encryption Standards: Implementation evidence and key management
Access Controls: Role definitions, user management, and audit trails
Data Retention: Policy implementation and compliance evidence
Incident Response: Procedures, testing, and response capabilities

Regulatory Reporting Support

Amos provides audit-ready evidence for various regulatory requirements:

SEC Compliance

Form ADV reporting support with complete data lineage and calculation transparency.

AIFMD Reporting

European regulatory reporting with full audit trails and data validation evidence.

CFTC Requirements

Commodity fund reporting with position reconciliation and risk calculation evidence.

Tax Reporting

K-1 and other tax document support with complete calculation audit trails.

Audit Preparation Tools

Automated Evidence Collection

Amos includes tools to automatically prepare audit evidence packages:

# Generate comprehensive audit package
amos audit generate \
  --period "2023-01-01,2023-12-31" \
  --scope "nav_calculation,investor_reporting" \
  --format "regulatory_package" \
  --output "/audit/2023_annual_review/"

# Package contents:
# - Configuration history and approvals
# - Data lineage documentation
# - Processing logs and test results
# - Access control evidence
# - Change management records

Audit Trail Queries

Built-in queries for common audit questions:

-- Who accessed investor data in the last quarter?
SELECT 
  user_id,
  COUNT(*) as access_count,
  MIN(timestamp) as first_access,
  MAX(timestamp) as last_access
FROM audit_logs 
WHERE resource_type = 'investor_data'
  AND timestamp >= '2023-10-01'
GROUP BY user_id;

-- What changes were made to NAV calculations?
SELECT 
  commit_hash,
  author,
  timestamp,
  change_description,
  files_modified
FROM git_audit_log
WHERE file_path LIKE '%nav_calculation%'
  AND timestamp >= '2023-01-01'
ORDER BY timestamp DESC;

Continuous Monitoring & Alerting

Real-Time Audit Monitoring

Amos continuously monitors for audit-relevant events:

Unusual Access Patterns: Automated detection of anomalous user behavior
Configuration Drift: Alerts when systems deviate from approved configurations
Data Quality Issues: Immediate notification of data integrity problems
Security Events: Real-time alerting for potential security incidents

Compliance Dashboard

Executive dashboard showing compliance posture in real-time:

Implementation Best Practices

Audit-First Design

When implementing Amos, consider audit requirements from day one:

Define Audit Scope: Identify what needs to be auditable
Configure Logging: Set up comprehensive audit logging
Establish Procedures: Create audit evidence collection procedures
Train Teams: Ensure staff understand audit requirements
Test Regularly: Conduct mock audits to validate evidence quality

Evidence Retention Strategy

Develop a comprehensive evidence retention strategy:

Configuration History: Retain indefinitely for regulatory compliance
Processing Logs: 7+ years for most fund regulations
Access Logs: 3-7 years depending on jurisdiction
Test Results: Retain with associated code versions

Next Steps

Governance & Compliance

Explore governance frameworks and contribution models for open source adoption

Implementation Planning

Start planning your audit-ready Amos deployment

Change Management

Learn how to implement audit controls through the Adapt → Align → Upgrade process

Ready to implement audit-ready data operations? Contact our team to discuss your specific compliance and auditability requirements.

Getting Started

Integration

Use Cases & Applications

Change Management

Open Source Assurance

AI Readiness & Enablement

Success Stories

​Complete Transparency for Regulatory Confidence

​Version-Controlled Configurations

​Git-Based Configuration Management

​Change Audit Trail

Who Changed What

When Changes Occurred

Why Changes Were Made

How Changes Were Tested

​End-to-End Data Lineage

​Complete Data Flow Visibility

​Lineage Documentation

​Reproducibility & Evidence Packs

​Reproducible Builds

​Infrastructure Reproducibility

​Data Processing Reproducibility

​Evidence Packs for Audits

Configuration Evidence

Data Processing Evidence

Access Control Evidence

Change Management Evidence

​Comprehensive Audit Logs

​System Access Logging

​Data Processing Logs

​Regulatory Compliance Support

​SOC 2 Type II Alignment

​LP Due Diligence Requirements

​Operational Risk Assessment

​Data Security & Privacy

​Regulatory Reporting Support

SEC Compliance

AIFMD Reporting

CFTC Requirements

Tax Reporting

​Audit Preparation Tools

​Automated Evidence Collection

​Audit Trail Queries

​Continuous Monitoring & Alerting

​Real-Time Audit Monitoring

​Compliance Dashboard

​Implementation Best Practices

​Audit-First Design

​Evidence Retention Strategy

​Next Steps

Governance & Compliance

Implementation Planning

Change Management

Complete Transparency for Regulatory Confidence

Version-Controlled Configurations

Git-Based Configuration Management

Change Audit Trail

End-to-End Data Lineage

Complete Data Flow Visibility

Lineage Documentation

Reproducibility & Evidence Packs

Reproducible Builds

Infrastructure Reproducibility

Data Processing Reproducibility

Evidence Packs for Audits

Comprehensive Audit Logs

System Access Logging

Data Processing Logs

Regulatory Compliance Support

SOC 2 Type II Alignment

LP Due Diligence Requirements

Operational Risk Assessment

Data Security & Privacy

Regulatory Reporting Support

Audit Preparation Tools

Automated Evidence Collection

Audit Trail Queries

Continuous Monitoring & Alerting

Real-Time Audit Monitoring

Compliance Dashboard

Implementation Best Practices

Audit-First Design

Evidence Retention Strategy

Next Steps