Processes & Controls

From compliance program design and execution to assessment of current processes, control programs and control structures for opportunities, we have the background and hands on experience to meet your needs.

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Sarbanes Oxley (SOX)

  • Perform Top-down Risk-based approach to scoping
  • Identify Entity-Level and Monitoring Controls mitigating significant financial reporting risks
  • IT General Control (ITGC) assessments, test support and remediation
  • Evaluate the design and operating effectiveness of primary controls
  • Process documentation and control design
  • Control rationalization/optimization

Other Regulatory (JSOX, ISO, MAR, etc.)

  • Evaluate “as-is” control environment and compare to regulatory requirements
  • Co-develop improvement / compliance plan(s)

Process Mapping and Process Improvement

  • Documentation of “as is” processes
  • Mapping business processes to risks and controls
  • Policy and procedure development or enhancement
  • Process design / re-design
  • Process, system and data mapping for pre- and post- implementation reviews
  • Assistance in developing target platforms of processes, applications and controls

Third Party Reporting

  • Program development to improve transparency of business processes for business partners