SOX testing can be cumbersome — but it doesn’t need to be! Design a smooth, efficient process with this resource, which features best practices, useful techniques, and ways to engage with control owners at every step of the way.
Testing is a critical part of maintaining Sarbanes-Oxley compliance. But managing SOX testing procedures and documentation can quickly become frustrating without good organization and centralized data.
Technology solutions can help, and so can following best practices to ensure alignment between the internal audit team and control owners, combat audit fatigue, and reduce inefficiencies. This resource covers walkthroughs, evidence requests, the testing stage, and more.
Here are a few tips to streamline your SOX process:
Ensure well-defined controls: Understand the control definition and make sure it’s specific enough before starting testing to avoid the need for additional follow up.
Don’t delay evidence review: If evidence is insufficient, you can quickly communicate the issue early in the process.
Hold consistent check-ins: Track progress on a regular basis so you can reallocate resources if needed.
Learn more when you download the full resource, including 11 recommendations for collaborating with control owners for better relationships and more efficient issue remediation.
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