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SOX compliance is time-consuming and expensive. Sometimes you need a fresh set of eyes to recognize where your risks and vulnerabilities may lie. That’s where our team of CPAs*, CIAs, and CISAs come in, and no, we’re not external auditors. But our consultants’ hands-on experience, comprehensive knowledge of control environments, and risk management can help companies alleviate uncertainty.

need controls help now?

 

risk assessment

  • Internal controls risk assessment
  • SOX (404) testing and evaluation of current practices
  • Critical and non-critical system identification
  • Threat, risk, and vulnerability assessment and documentation
  • Assessment of detection and monitoring activities
     

process review

  • Review and assess current financial practices/policies and procedures
  • Procedure and control gap identification
  • Walkthroughs and interviews with key process owners
  • Narratives: creation/evaluation of internal control documentation
  • Workflows: creation and evaluation of information/data flow, including control points

implementation

  • Develop policies and procedures for key areas and functions
  • Substantive testing procedures of company's internal controls
  • Advise on remediation of process breakdowns and control gaps
  • Develop and implement an awareness plan for personnel to mitigate potential risk exposure
  • Control matrix and risk analysis development
  • Align controls and procedures with COSO/COBIT framework and best practices

 

reporting

  • Assist in report preparation and distribution of significant findings
  • Communicate findings with process owners, senior management, and external auditors
  • Review and document agreed-upon procedures with management
  • Assist in the preparation of Audit Committee presenations to communicate test results and remediation status

follow-up

  • Review and develop process for tracking outstanding management action items
  • Reporting and validation of satisfactory resolution of findings  
  • Review and advise on continuous monitoring efforts
  • Assessment of follow-up engagement testing and procedures

need some internal controls help?

Fill out this short form and one of our team will reach out to talk through what's going on. Not ready to pull the trigger? No problem! Conversation is always free.