Digital Assets
Compliance and Technology Audit Services
Business Advisory
Phoenix helps digital asset management firms build a compliance and technology audit framework that reflects how these businesses actually operate—across wallets, custodians, exchanges, DeFi protocols, administrators, smart contracts, and multiple blockchains. The challenge is not just having policies in place. It is proving that obligations are mapped to the right controls, that on-chain and off-chain activity reconcile, that technology changes are governed, and that audits can be supported with complete, defensible evidence. Phoenix helps clients turn fragmented controls and manual reviews into a disciplined operating model that improves oversight, reduces audit friction, and strengthens regulatory, investor, and internal audit readiness.
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Assess the current control environment across AML and sanctions, Travel Rule, custody and segregation, portfolio compliance, valuation, NAV, reporting, and outsourced operations to identify the highest-risk gaps.
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Map obligations, policies, systems, and controls across wallets, smart contracts, nodes, exchanges, custodians, administrators, cloud platforms, and internal workflows so responsibilities are clear and auditable.
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Design a target-state compliance monitoring and technology audit framework covering control design, operating effectiveness, testing cadence, approvals, issue management, and remediation governance.
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Establish governance for AI models, automated workflows, smart-contract changes, and privileged access so innovation remains controlled, reviewable, and supported by evidence.
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Prepare the firm for regulator exams, investor due diligence, external reviews, and internal audit with stronger data lineage, evidence standards, and continuous monitoring.
AltsCentralAI Solutions
AltsCentralAI gives compliance, operations, and audit teams a unified control and evidence layer across on-chain and off-chain environments. It brings together transaction, wallet, portfolio, counterparty, document, communications, and system-log data into one governed framework so obligations, controls, testing, and evidence can be managed from a single place. AI improves rule mapping, anomaly detection, and evidence review, RPA reduces repetitive testing and reporting effort, and quantum-ready capabilities can be applied selectively to high-volume control prioritization and cross-network risk analysis. The result is a more scalable, lower-cost, and more effective compliance and audit function.
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Create a unified regulatory and control data hub that links obligations, policies, controls, exceptions, evidence, and ownership across jurisdictions, funds, products, and service providers.
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Use AI-driven compliance analytics to review policies, reconciliations, wallet activity, smart-contract events, trade flows, and system logs to detect control gaps, classify exceptions, and accelerate audit preparation.
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Automate repetitive work with RPA and workflow orchestration for evidence collection, control testing, certification cycles, approvals, remediation tracking, and reporting-pack assembly.
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Build a multi-chain oversight layer across wallets, addresses, bridges, nodes, custodians, and exchanges so compliance and audit teams can monitor different blockchains through one control model.
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Apply quantum-ready optimization selectively to prioritize testing, optimize control coverage, and analyze complex patterns across wallets, counterparties, chains, and transactions where scale and speed matter.
Technology Execution & Delivery
Phoenix can lead the full implementation of compliance and technology audit capabilities, deliver them with a Phoenix team, or augment a client’s compliance, internal audit, technology, data, and operations functions. We help clients move from spreadsheets, screenshots, explorer lookups, and disconnected vendor portals to a controlled, repeatable, and scalable audit environment. The result is faster audits, lower compliance cost, stronger evidence, and better visibility into the technology and control risks specific to digital asset management firms.
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Implement the target compliance and technology audit architecture across data ingestion, control libraries, evidence stores, lineage, dashboards, testing workflows, and reporting.
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Integrate custodians, exchanges, wallets, blockchains, node providers, administrators, portfolio systems, communications archives, and cloud logs into one governed audit and monitoring layer.
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Build role-based access, approval workflows, immutable audit trails, retention controls, model governance, DevSecOps controls, and change-management processes to make the environment both efficient and defensible.
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Stand up continuous monitoring for on-chain activity, wallet permissions, smart-contract changes, reconciliations, sanctions and AML alerts, reporting processes, and third-party service-provider controls.
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Provide staff augmentation and specialist delivery support across compliance, internal audit, blockchain engineering, data engineering, controls, PMO, and remediation execution.