Sarbanes-Oxley Compliance (SOX)

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

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.

Survey

September 12, 2023

The Evolution of SOX: Tech Adoption and Cost Focus Amid Business Changes, Cyber and ESG Mandates

Protiviti’s annual Sarbanes-Oxley Compliance Survey provides detailed benchmarks for compliance costs and hours, while quantifying the impact of technology, automation and changing business conditions on these measures and activities....

Sarbanes-Oxley (SOX)

Pro Briefcase

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.

 
Pro Building office

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.

 
Pro Document Consent

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.

 
Pro Document Stack

IT SOX

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).

 
Pro Rightmark Square

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.

 

Our Approach

Efficiency. Effectiveness. Sustainability.

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.

Leadership

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 Rachmiel is the Chicago Office Market Leader and a founding member of Protiviti.  In addition to leading Protiviti’s Chicago office, Brad is a part of our Global Internal Audit and Financial Advisory leadership team and is the U.S. Central Region Leader of our ...

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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