Sarbanes-Oxley Compliance (SOX)

Leading experts in SOX Compliance. It’s what we do every day.

SOX Hero

We have served hundreds of clients with their SOX compliance needs that range from program builds to turn-key execution, to rationalization and transformation.

Protiviti has been a long standing and recognized global thought leader in SOX and Committee of Sponsoring Organizations (COSO) compliance. Our publications, benchmarking studies and global seminars are widely recognized in the marketplace and continually provide the latest regulatory and industry trends. Our clients benefit by having access to leaders with deep industry and subject matter expertise for whom SOX compliance is a principal focus.

SOX Hero

Sarbanes-Oxley (SOX)

Public Company Readiness – Year One SOX

Establish a roadmap to comply with SOX 404 by right sizing your SOX program and infusing leading practices to build an effective, efficient, and sustainable control framework and program.


SOX Diagnostic

Assess your SOX compliance program to rationalize your controls and validate your overall approach. Our diagnostic services build upon years of SOX compliance activities and the application of SEC and PCAOB guidance.


Ongoing SOX Compliance

Assess the effectiveness of your SOX program to ensure it adjusts to the changing needs of your organization. Conduct training and awareness for executives, process, and control owners. Establish a controls-mindset in the organization.



Understand how technology impacts your control environment and identify optimization opportunities by evaluating control design and operating effectiveness of application and IT general controls, as well as the impact of major technology projects (e.g., ERP implementations).


SOX Transformation & Innovation

Test faster and more accurately by leveraging our testing accelerators, proprietary data-driven control testing tools, and Control Testing and Innovation Center services, as well as our network of global delivery centers.


Efficiency. Effectiveness. Sustainability.

Our Approach

Protiviti assists companies in designing SOX programs that deliver upon compliance objectives, without putting undue strain on the organization. We are experts and have years of proven SOX experience, working with organizations ranging from newly public to the largest global organizations. Our global network of SOX specialists continually monitors developments and changes within the landscape. Protiviti's approach

  • Risk Assessment, Scoping & Project Management
  • Walkthrough & Control Design Assessment
  • Testing of Operating Effectiveness
  • Aggregation & Evaluation of Deficiencies
  • Monitoring and Validation of Remediation Activities
  • Reporting of Results to Management
  • External Auditor Liaison

Efficiency. Effectiveness. Sustainability.


Keith Kawashima
Keith Kawashima is a Managing Director and has over 30 years of experience in finance and accounting including 20+ years with Protiviti / Arthur Andersen's Internal Audit practice and 10+ years industry experience in both Finance and Operations prior to joining ...
Brad Rachmiel
Brad is the Chicago Market and Central Region leader of Protiviti’s Internal Audit and Financial Advisory practice. He is also the Central Region lead for our Public Company Transformation practice. Brad brings 25 years of experience in public accounting, internal audit ...

Key Partners

We partner with leading software companies to provide direction and deliver an automated testing approach with speed and convenience.


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Start Small to Make Bigger Strides Over Time With SOX Compliance Process Automation

Since the passage of the Sarbanes-Oxley Act (SOX) nearly two decades ago, internal audit teams that need to help their organizations comply with the law’s requirements have been desperate to find less resource-intensive ways to do so. For many,...
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New Survey Finds SOX Compliance Efficiency Still Eludes Many Organizations — Although Digital Leaders Have an Edge

 The global health crisis has disrupted businesses in many ways — and the impacts are likely to be long-lasting. But one thing that’s remained constant for many organizations is the need to maintain compliance with Sarbanes-Oxley (SOX) requirements. ...
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Rising SOX Compliance Hours and Costs Underscore Need for Technology Enablement, Finds New Protiviti Survey

Protiviti’s twelfth annual Sarbanes-Oxley (SOX) Compliance Survey finds that 65% of respondents who reported an increase in their SOX compliance hours said those hours increased by more than 10% over the prior year. Rising SOX compliance hours...
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PCAOB Issues Interim Analysis Report on Initial Impact of CAM Requirements

On October 29, the Public Company Accounting Oversight Board (PCAOB) released an interim analysis report,[1] along with two accompanying white papers, in which the board provides its analysis and perspectives on the initial impact of its...
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