We first want to assure you that Control Solutions is comfortable supporting your firm with all aspects of SOX compliance, including JSOX (Japan) and NI-52109 (Canada) compliance.
Our 7 Step Internal Audit Process to get you ready and compliant:
- Planning –At the onset of your planning process, our experienced consultants will meet with you to understand the final scope, timeline, and any nuances that we may need to be aware of as we launch our Internal Audit work in the field. It is also at this meeting that we will re-establish a communication protocol with you, reconfirm your reporting requirements, and overall expectations.
- Assignment of Staff – We will assign auditors to each process area, by location, based upon the level of technical expertise and their ability to work well within the culture of the company.
- Document Requests – Once your scope has been finalized, we will begin the process of preparing document request lists to be distributed to process owners with adequate lead time. Our consultants will manage this process as a whole and will be responsible for ensuring all documents requested are centrally managed.
- Testing of Controls – All testing will be performed in accordance with your compliance requirements, and supporting documentation will be provided and documented such that your independent or external accountants will be able to rely on our testing or re-perform any testing they choose.
- Additional Process Documentation – For processes in scope that may need to be documented from inception, we will document these utilizing an AS-5 approach, focusing on critical/key controls throughout each process area. Succinct narratives will be developed in conjunction with their corresponding risk control matrices and test plans.
- Summary of Deficiencies Reporting – Control deficiencies will be summarized by process area, to correspond with our recommendations to remediate such potential deficiencies. The remedial process will be a collaborative one in that we will continue to work closely with your process owners to ensure controls are designed effectively and ultimately operate effectively.
- Remediation – Should control deficiencies occur, we will assist your process owners with the highest level of cooperation and technical ability in order to properly remediate each deficiency. Our remedial process is a collaborative one which inspires accountability, automation, and cost control.
Contact our Business Director today to discuss how we can assist with you with your next annual SOX compliance review.
Director, New Business and Operations
Control Solutions International, Inc.
641 Lexington Ave, 27th Floor
New York, NY 10036
About Control Solutions International, A Division of Staffing 360 Solutions:
For over 25 years, Control Solutions has provided Internal Audit partnering services to the governmental, public and private sectors. Our firm has helped thousands of organizations maximize the effectiveness of their internal audit and risk management objectives year after year. We provide a full suite of robust Information Technology Audit and Risk Management Services which encompass practice subject matter experts and highly skilled support staff proficient in executing reviews of General Controls, Information Security, Applications, IT Infrastructure, Governance, Pre/Post Implementation System Reviews, Data Analytics Automation, Data Mining, Disaster/Business Continuity Services, Information Technology Risk Assessments, and highly sophisticated Computer Forensics/E Discovery Services.