SOX
SOX ITGC assessments, control testing, remediation support, and audit readiness services for publicly traded companies.
Understanding SOX
What Is SOX
The Sarbanes-Oxley Act requires organizations to establish and maintain effective internal controls over financial reporting.
Who Needs It
Why It Matters
Where Most Organizations Get Stuck
Weak IT Controls
Documentation Gaps
Limited Audit Readiness
Access Management Risks
Segregation of Duties Issues
The 5 Trust Services Criteria
SOX Section 404 requires organizations to maintain effective controls supporting the integrity of financial reporting.
Access Management
Control and review user access to financial systems.
Change Management
Manage system changes through approved processes.
Monitoring
Track control effectiveness and exceptions.
Control Testing
Validate operation of key controls.
Governance
Establish accountability and oversight.
Scope of Engagement
SOX ITGC Assessment
Review IT general controls impacting financial reporting.
Control Testing
Evaluate design and operating effectiveness.
Documentation Review
Assess policies, procedures, and evidence.
Remediation Planning
Address identified control deficiencies.
Audit Readiness
Prepare for internal and external audit reviews.
Management Reporting
Executive visibility into compliance status.
What You Walk Away With
SOX ITGC Assessment
Comprehensive review of IT general controls affecting financial reporting.
Control Testing Results
Detailed results of control design and operating effectiveness testing.
Deficiency Register
Documentation of identified control deficiencies and their severity levels.
Remediation Roadmap
Prioritized plan for addressing control gaps and deficiencies.
Audit Readiness Report
Assessment of organizational readiness for internal and external audits.
Executive Summary
High-level overview of findings, recommendations, and compliance status.
What Changes Once You're Certified
Strengthen Internal Controls
Reduce Audit Findings
Improve Governance
Protect Financial Systems
Support Compliance
How We Get You Audit-Ready
Assessment
Review financial systems and IT controls.
Control Evaluation
Assess control design and effectiveness.
Remediation
Address identified deficiencies.
Documentation
Update evidence and supporting artifacts.
Validation
Retest remediated controls.
Audit Support
Assist throughout audit activities.
Services that commonly pair with this engagement.
Risk Assessment
vCISO Services
Security Program Development
Managed Security
Questions About SOX
Don't see your question here? Our team is happy to walk through the specifics of your environment.
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