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I will perform sox readiness assessment and gap analysis
Lou H
About this gig
We help organizations assess their readiness for SOX compliance by evaluating existing processes, identifying control gaps, and creating a clear roadmap to strengthen internal controls over financial reporting (ICFR). Whether your documentation is well-established or still developing, we work with your current environment to provide a practical assessment of your control framework.
We review policies, process documentation, risk and control matrices (RCMs), narratives, flowcharts, and supporting evidence to evaluate the design and effectiveness of key controls. From there, we identify missing or incomplete controls, assess potential risks, and provide a structured deliverable outlining your current state and areas for improvement.
Ideal for growing businesses seeking to enhance governance, risk management, and internal controls.
Get to know Lou H
Lou H
Governance, Risk Compliance GRC Analyst
- FromUnited States
- Member sinceMar 2024
Languages
English
Detail-oriented audit professional with experience supporting risk, compliance, and
control environments across financial, IT, and operational processes in multiple
industries. Experienced in process walkthroughs, control
evaluations, and risk-focused audit testing to support effective governance and
financial reporting integrity.
SOX Internal Control Testing
FRB / OCC / CFPB Regulatory Guidance
Audit Sampling & Substantive Testing
PeopleSoft • Trintech • CaseWare • Power
BI • Alteryx • EY Canvas
FAQ
What is included in the scope of this assessment?
SOX readiness assessment, including control walkthroughs, documentation review, risk identification, testing support, and gap analysis. We evaluate financial reporting controls, ITGCs, and compliance processes, and provide remediation recommendations to strengthen SOX compliance.
Which documents should I provide?
Helpful documents include process narratives, policies and procedures, Risk and Control Matrices (RCMs), organization charts, system inventories, screenshots, reports, prior audit findings, and any existing control documentation.
What if my environment is larger or more complex?
No problem—this is common. We can expand the scope to include additional systems or processes through add-ons or a custom engagement.
What will I receive at the end?
- summary report outlining identified SOX gaps, control weaknesses, and risks - clear remediation recommendations, documentation notes, and - next-step guidance to improve compliance and audit readiness.
