Financial reporting controls
SOX 404 & IT Controls
Support IT general controls and technology-dependent processes that underpin internal control over financial reporting.
Your engagement, step by step
From Understanding
To Readiness.
We tailor the sequence to your maturity, operating footprint and objectives. Each phase has clear responsibilities and tangible outputs.
Discuss this service- 01
Align With Financial Reporting Scope
Work with finance and audit stakeholders to identify relevant systems, dependencies and responsibilities.
Typical outputAgreed IT control scope and stakeholder map
- 02
Document Control Design
Review access management, change management, IT operations and relevant technology-dependent controls.
Typical outputProcess narratives and risk-control matrix
- 03
Assess Evidence And Gaps
Perform agreed walkthroughs and readiness reviews of control operation; document exceptions and remediation ownership.
Typical outputReadiness findings and evidence index
- 04
Prepare Management And Auditor Handover
Support evidence requests and remediation follow-up. Management’s ICFR assessment and the external auditor’s opinion remain their responsibilities.
Typical outputOrganized handover and action tracker
Getting started
What We Need From You
- Your business goals, target markets and readiness milestone
- A sponsor and access to relevant process or control owners
- Existing policies, system information and available evidence
- Known gaps, previous findings and external assessment plans
We agree the timeline after scoping. It depends on your starting point, systems, available people and the work needed to demonstrate operation.