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.

Contact Us Today

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