Protiviti’s Financial Controls and Sarbanes-Oxley (SOX) Compliance professionals help companies establish effective internal control over financial reporting.

Shareholders benefit when companies have effective internal control over financial reporting. In the United States, the share prices of companies reporting under Sarbanes-Oxley requirements do not perform as well when they report that their internal financial reporting controls are ineffective or have received an adverse opinion from their auditors.

Whether your organization is just getting started or has complied for years, we help companies apply a top-down, risk-based approach, in accordance with the Securities and Exchange Commission’s interpretive guidance, to implement a cost-effective compliance process. We help rationalize the critical risks, identify the key controls, develop a credible body of evidence supporting controls design and operating effectiveness, drive accountability for compliance throughout the organization, and coordinate the optimization of the attestation process under Auditing Standard No. 5. 

Our experience gained by working with hundreds of other companies gives us the knowledge to help organizations think longer-term, make the right choices and create value as sustainability improves. Our flexible, comprehensive approach is driven by a customized road map that addresses each client's immediate priorities, planned improvements, longer-term strategic improvements and designated timetable.

Our specific services include:

1. SOX compliance project planning and management 
2. Documentation, evaluation, testing and remediation of risks and controls
3. Compliance cost reduction by rationalizing risks and controls and implementing risk-based testing
4. Improvement of internal controls and the quality of key upstream business processes affecting financial reporting
5. Governance Portal implementation and support