Comprehensive Sarbanes-Oxley Solutions: From Readiness to Ongoing Compliance
For public and pre-IPO companies, achieving Sarbanes-Oxley Compliance can feel like stepping into a labyrinth of internal controls, documentation, and reporting requirements. AAFCPAs helps simplify that process, working alongside your team and external auditors to design, implement and test internal controls that are precise, practical, and meet your compliance obligations.. With careful planning and collaboration, we create a framework that gives management confidence that their internal controls over financial reporting are effective while simultaneously optimizing internal processes and improving overall business efficiency.
AAFCPAs partners with management as a co-sourced internal audit function—designing and executing SOX compliance programs. Our flexible model provides independence, scalability, and access to deep technical expertise, especially for organizations without a dedicated internal audit team or those expanding capacity for specialized reviews. Whether your organization is already public or preparing for an IPO, our team simplifies SOX and ensures your compliance program is efficient, reliable, and can evolve as your organization grows.
SOX Readiness Framework: From Assessment to Continuous Improvement
Our SOX readiness framework follows a proven, four-phase approach—designed to strengthen internal controls, streamline documentation, and provide lasting audit confidence.
We build a controls framework that strengthens your operations and stands up to scrutiny. Throughout the process, we engage your external auditors to ensure the program meets their specific expectations and can be relied upon. We verify that controls operate as intended, providing management with dependable assurance. Finally, we turn results into lasting improvements in overall business performance and financial reporting integrity. year after year.
Readiness Assessment and Control Design
- Evaluate existing processes, policies, and documentation to understand the control environment and identify inherent risks.
- Document critical financial reporting processes and related systems to establish a clear baseline for control design.
- Develop and document internal controls that are precise, practical, and aligned with SOX requirements.
- Highlight process deficiencies, control weaknesses, and readiness gaps that could impact compliance before testing begins.
- Recommend actions to address gaps and strengthen controls to ensure readiness for subsequent testing phases.
Collaboration with External Auditors
- Incorporate external auditor requirements and preferences into your program.
- Maintain open communication to avoid surprises at review time.
- Promote transparency and shared understanding across your team.
Testing and Reporting
- Conduct walkthroughs and perform comprehensive control testing.
- Document results for internal and external review.
- Evaluate results and recommend targeted improvements.
Remediation and Continuous Improvement
- Implement scalable enhancements to address gaps.
- Establish repeatable processes that reduce ongoing effort.
- Support year-over-year readiness with ongoing monitoring and updates.
A True Partnership in SOX Compliance
SOX compliance is not a one-size-fits-all process. AAFCPAs collaborates closely with your external auditors from the outset, shaping your controls framework around their expectations, testing approaches, and reporting requirements. By coordinating early and maintaining open communication throughout the process, we help avoid surprises, reduce rework, and strengthen efficiency. The result is a control environment management can rely on and a program your team can follow with confidence, providing a solid foundation for reliable financial reporting and ongoing compliance.
SOX Controls That Operate Effectively
A robust SOX program begins with controls that are practical, clearly documented, and aligned with your operations. AAFCPAs develops and tests each control, performing walkthroughs and assessments to spot gaps or weaknesses before they become issues. Every step ensures controls meet regulatory standards while functioning reliably in practice.
When gaps are identified, we provide targeted recommendations and work with your team to implement improvements. This approach strengthens processes, reduces risk, and creates a repeatable framework that supports efficient compliance year after year, giving management confidence in the accuracy and reliability of financial reporting.
A Sustainable Process
SOX compliance is an annual obligation, and sustaining it requires processes that are efficient, repeatable, and adaptable. AAFCPAs helps establish a framework that continues to operate smoothly from year to year, reducing the effort needed for ongoing testing and documentation. This ensures your team can focus on strategic priorities rather than getting bogged down in procedural details.
Our approach also supports continuity, even if your team members or external auditors change. By maintaining clear documentation, structured controls, and a history of testing and remediation, we provide management with confidence that your financial reporting framework remains reliable and audit-ready, year in and year out.
Preparing for Your IPO with SOX Readiness
For organizations planning to go public, SOX readiness is a critical step. AAFCPAs helps pre-IPO teams establish controls, document processes, and align with external auditors well before filing. We focus first on SOX 404(a) readiness—management’s assessment of internal controls over financial reporting—laying the groundwork for a seamless transition to SOX 404(b) auditor attestation once public. By starting early, you build a compliance framework that supports a smooth transition to public company reporting and positions your organization for long-term success.
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Lisa Whittemore
James Jumes
Jennifer Le Vine
Sumit Saxena
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