Sarbanes Oxley A Complete Guide Practical Tools for Self Assessment
You're not alone if you’re feeling the weight of compliance pressure, regulatory scrutiny, or the fear of oversight failure. The truth is, Sarbanes Oxley compliance isn't optional-it's a board-level mandate that defines corporate integrity. Miss a step, and you risk audit failures, financial exposure, or even personal liability. But right now, you might be struggling with fragmented guidance, outdated templates, or unclear internal controls documentation. You need more than theory-you need an actionable roadmap that turns SOX complexity into confident execution. That’s where Sarbanes Oxley A Complete Guide Practical Tools for Self Assessment comes in. This course delivers one powerful outcome: going from confusion to control in under 30 days, with a fully documented, auditor-ready self-assessment framework you can implement immediately. No guesswork. No fluff. Just clarity, structure, and compliance certainty. Take Maria Reyes, Senior Compliance Officer at a public manufacturing firm. After completing this program, she led her department through a successful SOX 404 audit with zero findings-using only the tools and checklists from this guide. “I went from hoping we were compliant to proving it,” she said. “The risk assessment matrix alone saved us three weeks of rework.” Whether you're in finance, audit, legal, or executive leadership, this course transforms your role from reactive responder to proactive governance leader. You’ll gain the confidence to lead assessments, defend control designs, and demonstrate real value to stakeholders. You’re not just learning SOX-you’re mastering it in a way that future-proofs your career and strengthens your organisation. Here’s how this course is structured to help you get there.Course Format & Delivery Details Self-Paced, On-Demand, and Built for Real Professionals
This course is designed for demanding professionals like you. It's fully self-paced, with immediate online access from any device, anywhere in the world. There are no fixed schedules, mandatory sessions, or time-limited enrollment windows. You progress at your own speed, on your own time. Most learners complete the core framework in 15–25 hours and begin applying the tools within the first week. You’ll have instant access to all materials, with the ability to revisit, revise, and refine your work anytime. Lifetime Access with Free Ongoing Updates
Once enrolled, you own this course for life. That includes all future updates, enhancements, and new tools as regulatory expectations evolve. Compliance changes-your access doesn’t. You’ll always have the latest version, at no additional cost. - 24/7 global access from desktop, tablet, or mobile
- Fully mobile-friendly layout with responsive navigation
- Printable and downloadable workbooks, templates, and checklists
- Progress tracking to monitor your advancement
Direct Support from Governance Practitioners
You’re not navigating SOX alone. Enrolled learners receive direct instructor support via structured guidance, detailed feedback pathways, and access to expert clarification on complex topics. This isn’t automated chat-it’s real support from professionals who’ve led SOX programs at Fortune 500 companies. Certificate of Completion Issued by The Art of Service
Upon finishing the course, you will receive a formal Certificate of Completion issued by The Art of Service-a globally recognised authority in governance, risk, and compliance training. This certificate validates your mastery of SOX self-assessment and enhances your professional credibility with auditors, hiring managers, and boards. The certificate is shareable on LinkedIn, included in your resume, and verified through secure digital credentials. It demonstrates a standard of excellence that sets you apart in competitive markets. No Hidden Fees. No Surprises. Zero Risk.
The pricing structure is straightforward-what you see is what you pay. There are no recurring fees, no upsells, and no hidden charges. You get full, unrestricted access for a single, one-time investment. We accept Visa, Mastercard, and PayPal-securely processed with bank-level encryption. Your transaction is protected, and your data remains private. 100% Satisfied or Refunded-No Questions Asked
If this course doesn’t meet your expectations, you’re covered by our unconditional satisfaction guarantee. Request a refund at any time within 30 days of enrollment, and you’ll receive every dollar back-no forms, no delays, no resistance. Immediate Access Process
After enrollment, you’ll receive a confirmation email. Your course access details and login instructions will be delivered separately once your materials are prepared and verified. This ensures every learner receives a complete, accurate, and fully functional experience. “Will This Work for Me?” - Yes, Even If…
You’re new to SOX and feel overwhelmed by the jargon. You work in a small company with limited resources. You’re not in audit or accounting, but still responsible for compliance. You’ve passed an audit before, but want to do it better. This works even if you’ve never written a control narrative, haven’t led an assessment, or don’t report to the CFO. The frameworks are role-agnostic, scalable, and designed for cross-functional teams. Accountants, internal auditors, legal advisors, risk managers, and operational leaders all use these tools successfully. With clear language, real-world examples, and downloadable templates, you get immediate applicability-regardless of your background or organisation size. Your success is not left to chance. This course is engineered for results, backed by proven methodology, and trusted by compliance leaders across 70+ countries. You’re making a risk-free investment in skills that deliver lasting ROI.
Module 1: Foundations of Sarbanes Oxley Compliance - Understanding the origins and purpose of the Sarbanes Oxley Act
- Key public events leading to SOX legislation
- Overview of Title I–XI and their real-world implications
- Distinguishing between SOX 302, 404, 409, and 802 requirements
- Identifying who must comply with SOX regulations
- Recognising public company obligations under SEC rules
- Understanding the scope of financial reporting certifications
- Defining materiality in the SOX context
- Explaining the role of audit committees in governance
- Mapping SOX requirements to organisational risk frameworks
- Introduction to internal control over financial reporting (ICFR)
- Linking SOX to enterprise risk management practices
- Understanding the interaction between SOX and other regulations (GDPR, HIPAA, etc.)
- Identifying common SOX misconceptions and myths
- Establishing a compliance mindset across departments
Module 2: Regulatory Frameworks and Control Structures - Analyzing SOX Section 302: Certification of Financial Reports
- Detailed breakdown of CEO and CFO certification responsibilities
- SOX 404(a): Management assessment of internal controls
- SOX 404(b): External auditor attestation requirements
- Understanding PCAOB standards and their influence on audits
- Reviewing AS 2201: An Audit of Internal Control Over Financial Reporting
- Role of control objectives in compliance design
- Differentiating between entity-level and process-level controls
- Defining control activities, monitoring, and information flow
- Understanding control deficiency classifications: design vs operating
- Defining significant deficiencies vs material weaknesses
- Recognising cascading impacts of control failures
- Integrating risk assessment into control scoping
- Linking controls to account balances and disclosures
- Using control matrices to visualise compliance coverage
Module 3: Planning a SOX Compliance Program - Developing a SOX compliance roadmap for new implementations
- Creating a compliance timeline aligned with financial close cycles
- Forming a SOX compliance team and assigning roles
- Determining core responsibilities: process owners, RACI matrices
- Establishing governance oversight protocols
- Setting expectations for documentation, testing, and reporting
- Defining thresholds for control significance
- Identifying key financial reporting processes
- Scoping the SOX universe: what processes to include
- Conducting process walkthroughs to validate design
- Using flowcharts and process maps to document workflows
- Selecting appropriate documentation standards (narratives, diagrams)
- Creating standard operating procedures for SOX teams
- Obtaining buy-in from leadership and department heads
- Developing a communication plan for compliance activities
Module 4: Risk Assessment and Process Scoping - Conducting a top-down risk assessment for SOX 404
- Identifying financial statement accounts and disclosures
- Determining which accounts are material to the financial statements
- Linking accounts to underlying business processes
- Assessing fraud risk factors under SOX
- Using qualitative and quantitative risk scoring
- Calculating risk exposure: likelihood x impact
- Determining high-risk versus low-risk processes
- Selecting key controls for monitoring and testing
- Developing scoping matrices to track risk decisions
- Justifying exclusion of low-risk areas
- Evaluating IT general controls (ITGCs) relevance
- Assessing changes in business, systems, or personnel
- Incorporating merger and acquisition impacts into risk models
- Updating risk assessments annually or after major events
Module 5: Control Identification and Design - Defining preventative vs detective controls
- Identifying manual vs automated controls
- Designing controls that meet SOX 404 objectives
- Writing effective control narratives with clear inputs and outputs
- Specifying control frequency: daily, weekly, monthly
- Defining control owners and responsible parties
- Mapping controls to specific risks and assertions
- Integrating SOX controls with existing business procedures
- Ensuring controls are properly authorised and approved
- Applying segregation of duties (SoD) principles
- Identifying and mitigating SoD conflicts
- Using compensating controls when segregation is not feasible
- Developing control documentation templates
- Creating standard control libraries for reuse
- Validating control design through stakeholder review
Module 6: Documentation and Process Narratives - Writing clear, concise, and audit-ready process narratives
- Structuring narratives using the five Ws: who, what, when, where, why
- Using standardised templates for consistency
- Incorporating control points into step-by-step workflows
- Identifying input sources and output destinations
- Documenting approvals and handoffs
- Using decision points and branching logic in flows
- Integrating exception handling procedures
- Linking documentation to system screenshots or reports
- Ensuring documentation is version controlled
- Archiving documentation for audit trail purposes
- Using metadata such as author, date, and approver
- Creating master lists of documented processes
- Meeting auditor expectations for completeness
- Conducting peer reviews of documentation quality
Module 7: Internal Control Testing and Evaluation - Planning a control testing strategy
- Understanding testing methods: inquiry, observation, inspection, reperformance
- Designing test scripts with clear objectives
- Specifying sample sizes based on control frequency and risk
- Performing walkthroughs to validate operating effectiveness
- Conducting sample selection using statistical and judgmental methods
- Documenting test results with supporting evidence
- Obtaining written confirmations from control owners
- Evaluating deviations and determining root causes
- Classifying control exceptions by severity
- Reporting findings to process owners for remediation
- Developing deficiency tracking logs
- Validating remediation actions before closing issues
- Using testing results to update risk assessments
- Preparing summary evaluation reports
Module 8: IT General Controls (ITGCs) and Systems Compliance - Defining the role of ITGCs in SOX compliance
- Understanding system access controls
- Managing user provisioning and de-provisioning
- Implementing role-based access controls (RBAC)
- Reviewing access rights for segregation of duties
- Monitoring privileged user activity
- Conducting periodic access reviews
- Emailing attestation reports to management
- Addressing orphaned accounts and excessive privileges
- Understanding change management controls
- Tracking application and infrastructure changes
- Requiring approvals for all production deployments
- Reviewing emergency change procedures
- Conducting backout planning for failed changes
- Verifying completeness of change logs
- Assessing program change controls for custom code
- Reviewing third-party software updates
- Evaluating system development life cycle (SDLC) controls
- Testing data backup and recovery procedures
- Validating system uptime and disaster recovery readiness
Module 9: Self-Assessment Methodology and Tools - Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Understanding the origins and purpose of the Sarbanes Oxley Act
- Key public events leading to SOX legislation
- Overview of Title I–XI and their real-world implications
- Distinguishing between SOX 302, 404, 409, and 802 requirements
- Identifying who must comply with SOX regulations
- Recognising public company obligations under SEC rules
- Understanding the scope of financial reporting certifications
- Defining materiality in the SOX context
- Explaining the role of audit committees in governance
- Mapping SOX requirements to organisational risk frameworks
- Introduction to internal control over financial reporting (ICFR)
- Linking SOX to enterprise risk management practices
- Understanding the interaction between SOX and other regulations (GDPR, HIPAA, etc.)
- Identifying common SOX misconceptions and myths
- Establishing a compliance mindset across departments
Module 2: Regulatory Frameworks and Control Structures - Analyzing SOX Section 302: Certification of Financial Reports
- Detailed breakdown of CEO and CFO certification responsibilities
- SOX 404(a): Management assessment of internal controls
- SOX 404(b): External auditor attestation requirements
- Understanding PCAOB standards and their influence on audits
- Reviewing AS 2201: An Audit of Internal Control Over Financial Reporting
- Role of control objectives in compliance design
- Differentiating between entity-level and process-level controls
- Defining control activities, monitoring, and information flow
- Understanding control deficiency classifications: design vs operating
- Defining significant deficiencies vs material weaknesses
- Recognising cascading impacts of control failures
- Integrating risk assessment into control scoping
- Linking controls to account balances and disclosures
- Using control matrices to visualise compliance coverage
Module 3: Planning a SOX Compliance Program - Developing a SOX compliance roadmap for new implementations
- Creating a compliance timeline aligned with financial close cycles
- Forming a SOX compliance team and assigning roles
- Determining core responsibilities: process owners, RACI matrices
- Establishing governance oversight protocols
- Setting expectations for documentation, testing, and reporting
- Defining thresholds for control significance
- Identifying key financial reporting processes
- Scoping the SOX universe: what processes to include
- Conducting process walkthroughs to validate design
- Using flowcharts and process maps to document workflows
- Selecting appropriate documentation standards (narratives, diagrams)
- Creating standard operating procedures for SOX teams
- Obtaining buy-in from leadership and department heads
- Developing a communication plan for compliance activities
Module 4: Risk Assessment and Process Scoping - Conducting a top-down risk assessment for SOX 404
- Identifying financial statement accounts and disclosures
- Determining which accounts are material to the financial statements
- Linking accounts to underlying business processes
- Assessing fraud risk factors under SOX
- Using qualitative and quantitative risk scoring
- Calculating risk exposure: likelihood x impact
- Determining high-risk versus low-risk processes
- Selecting key controls for monitoring and testing
- Developing scoping matrices to track risk decisions
- Justifying exclusion of low-risk areas
- Evaluating IT general controls (ITGCs) relevance
- Assessing changes in business, systems, or personnel
- Incorporating merger and acquisition impacts into risk models
- Updating risk assessments annually or after major events
Module 5: Control Identification and Design - Defining preventative vs detective controls
- Identifying manual vs automated controls
- Designing controls that meet SOX 404 objectives
- Writing effective control narratives with clear inputs and outputs
- Specifying control frequency: daily, weekly, monthly
- Defining control owners and responsible parties
- Mapping controls to specific risks and assertions
- Integrating SOX controls with existing business procedures
- Ensuring controls are properly authorised and approved
- Applying segregation of duties (SoD) principles
- Identifying and mitigating SoD conflicts
- Using compensating controls when segregation is not feasible
- Developing control documentation templates
- Creating standard control libraries for reuse
- Validating control design through stakeholder review
Module 6: Documentation and Process Narratives - Writing clear, concise, and audit-ready process narratives
- Structuring narratives using the five Ws: who, what, when, where, why
- Using standardised templates for consistency
- Incorporating control points into step-by-step workflows
- Identifying input sources and output destinations
- Documenting approvals and handoffs
- Using decision points and branching logic in flows
- Integrating exception handling procedures
- Linking documentation to system screenshots or reports
- Ensuring documentation is version controlled
- Archiving documentation for audit trail purposes
- Using metadata such as author, date, and approver
- Creating master lists of documented processes
- Meeting auditor expectations for completeness
- Conducting peer reviews of documentation quality
Module 7: Internal Control Testing and Evaluation - Planning a control testing strategy
- Understanding testing methods: inquiry, observation, inspection, reperformance
- Designing test scripts with clear objectives
- Specifying sample sizes based on control frequency and risk
- Performing walkthroughs to validate operating effectiveness
- Conducting sample selection using statistical and judgmental methods
- Documenting test results with supporting evidence
- Obtaining written confirmations from control owners
- Evaluating deviations and determining root causes
- Classifying control exceptions by severity
- Reporting findings to process owners for remediation
- Developing deficiency tracking logs
- Validating remediation actions before closing issues
- Using testing results to update risk assessments
- Preparing summary evaluation reports
Module 8: IT General Controls (ITGCs) and Systems Compliance - Defining the role of ITGCs in SOX compliance
- Understanding system access controls
- Managing user provisioning and de-provisioning
- Implementing role-based access controls (RBAC)
- Reviewing access rights for segregation of duties
- Monitoring privileged user activity
- Conducting periodic access reviews
- Emailing attestation reports to management
- Addressing orphaned accounts and excessive privileges
- Understanding change management controls
- Tracking application and infrastructure changes
- Requiring approvals for all production deployments
- Reviewing emergency change procedures
- Conducting backout planning for failed changes
- Verifying completeness of change logs
- Assessing program change controls for custom code
- Reviewing third-party software updates
- Evaluating system development life cycle (SDLC) controls
- Testing data backup and recovery procedures
- Validating system uptime and disaster recovery readiness
Module 9: Self-Assessment Methodology and Tools - Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Developing a SOX compliance roadmap for new implementations
- Creating a compliance timeline aligned with financial close cycles
- Forming a SOX compliance team and assigning roles
- Determining core responsibilities: process owners, RACI matrices
- Establishing governance oversight protocols
- Setting expectations for documentation, testing, and reporting
- Defining thresholds for control significance
- Identifying key financial reporting processes
- Scoping the SOX universe: what processes to include
- Conducting process walkthroughs to validate design
- Using flowcharts and process maps to document workflows
- Selecting appropriate documentation standards (narratives, diagrams)
- Creating standard operating procedures for SOX teams
- Obtaining buy-in from leadership and department heads
- Developing a communication plan for compliance activities
Module 4: Risk Assessment and Process Scoping - Conducting a top-down risk assessment for SOX 404
- Identifying financial statement accounts and disclosures
- Determining which accounts are material to the financial statements
- Linking accounts to underlying business processes
- Assessing fraud risk factors under SOX
- Using qualitative and quantitative risk scoring
- Calculating risk exposure: likelihood x impact
- Determining high-risk versus low-risk processes
- Selecting key controls for monitoring and testing
- Developing scoping matrices to track risk decisions
- Justifying exclusion of low-risk areas
- Evaluating IT general controls (ITGCs) relevance
- Assessing changes in business, systems, or personnel
- Incorporating merger and acquisition impacts into risk models
- Updating risk assessments annually or after major events
Module 5: Control Identification and Design - Defining preventative vs detective controls
- Identifying manual vs automated controls
- Designing controls that meet SOX 404 objectives
- Writing effective control narratives with clear inputs and outputs
- Specifying control frequency: daily, weekly, monthly
- Defining control owners and responsible parties
- Mapping controls to specific risks and assertions
- Integrating SOX controls with existing business procedures
- Ensuring controls are properly authorised and approved
- Applying segregation of duties (SoD) principles
- Identifying and mitigating SoD conflicts
- Using compensating controls when segregation is not feasible
- Developing control documentation templates
- Creating standard control libraries for reuse
- Validating control design through stakeholder review
Module 6: Documentation and Process Narratives - Writing clear, concise, and audit-ready process narratives
- Structuring narratives using the five Ws: who, what, when, where, why
- Using standardised templates for consistency
- Incorporating control points into step-by-step workflows
- Identifying input sources and output destinations
- Documenting approvals and handoffs
- Using decision points and branching logic in flows
- Integrating exception handling procedures
- Linking documentation to system screenshots or reports
- Ensuring documentation is version controlled
- Archiving documentation for audit trail purposes
- Using metadata such as author, date, and approver
- Creating master lists of documented processes
- Meeting auditor expectations for completeness
- Conducting peer reviews of documentation quality
Module 7: Internal Control Testing and Evaluation - Planning a control testing strategy
- Understanding testing methods: inquiry, observation, inspection, reperformance
- Designing test scripts with clear objectives
- Specifying sample sizes based on control frequency and risk
- Performing walkthroughs to validate operating effectiveness
- Conducting sample selection using statistical and judgmental methods
- Documenting test results with supporting evidence
- Obtaining written confirmations from control owners
- Evaluating deviations and determining root causes
- Classifying control exceptions by severity
- Reporting findings to process owners for remediation
- Developing deficiency tracking logs
- Validating remediation actions before closing issues
- Using testing results to update risk assessments
- Preparing summary evaluation reports
Module 8: IT General Controls (ITGCs) and Systems Compliance - Defining the role of ITGCs in SOX compliance
- Understanding system access controls
- Managing user provisioning and de-provisioning
- Implementing role-based access controls (RBAC)
- Reviewing access rights for segregation of duties
- Monitoring privileged user activity
- Conducting periodic access reviews
- Emailing attestation reports to management
- Addressing orphaned accounts and excessive privileges
- Understanding change management controls
- Tracking application and infrastructure changes
- Requiring approvals for all production deployments
- Reviewing emergency change procedures
- Conducting backout planning for failed changes
- Verifying completeness of change logs
- Assessing program change controls for custom code
- Reviewing third-party software updates
- Evaluating system development life cycle (SDLC) controls
- Testing data backup and recovery procedures
- Validating system uptime and disaster recovery readiness
Module 9: Self-Assessment Methodology and Tools - Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Defining preventative vs detective controls
- Identifying manual vs automated controls
- Designing controls that meet SOX 404 objectives
- Writing effective control narratives with clear inputs and outputs
- Specifying control frequency: daily, weekly, monthly
- Defining control owners and responsible parties
- Mapping controls to specific risks and assertions
- Integrating SOX controls with existing business procedures
- Ensuring controls are properly authorised and approved
- Applying segregation of duties (SoD) principles
- Identifying and mitigating SoD conflicts
- Using compensating controls when segregation is not feasible
- Developing control documentation templates
- Creating standard control libraries for reuse
- Validating control design through stakeholder review
Module 6: Documentation and Process Narratives - Writing clear, concise, and audit-ready process narratives
- Structuring narratives using the five Ws: who, what, when, where, why
- Using standardised templates for consistency
- Incorporating control points into step-by-step workflows
- Identifying input sources and output destinations
- Documenting approvals and handoffs
- Using decision points and branching logic in flows
- Integrating exception handling procedures
- Linking documentation to system screenshots or reports
- Ensuring documentation is version controlled
- Archiving documentation for audit trail purposes
- Using metadata such as author, date, and approver
- Creating master lists of documented processes
- Meeting auditor expectations for completeness
- Conducting peer reviews of documentation quality
Module 7: Internal Control Testing and Evaluation - Planning a control testing strategy
- Understanding testing methods: inquiry, observation, inspection, reperformance
- Designing test scripts with clear objectives
- Specifying sample sizes based on control frequency and risk
- Performing walkthroughs to validate operating effectiveness
- Conducting sample selection using statistical and judgmental methods
- Documenting test results with supporting evidence
- Obtaining written confirmations from control owners
- Evaluating deviations and determining root causes
- Classifying control exceptions by severity
- Reporting findings to process owners for remediation
- Developing deficiency tracking logs
- Validating remediation actions before closing issues
- Using testing results to update risk assessments
- Preparing summary evaluation reports
Module 8: IT General Controls (ITGCs) and Systems Compliance - Defining the role of ITGCs in SOX compliance
- Understanding system access controls
- Managing user provisioning and de-provisioning
- Implementing role-based access controls (RBAC)
- Reviewing access rights for segregation of duties
- Monitoring privileged user activity
- Conducting periodic access reviews
- Emailing attestation reports to management
- Addressing orphaned accounts and excessive privileges
- Understanding change management controls
- Tracking application and infrastructure changes
- Requiring approvals for all production deployments
- Reviewing emergency change procedures
- Conducting backout planning for failed changes
- Verifying completeness of change logs
- Assessing program change controls for custom code
- Reviewing third-party software updates
- Evaluating system development life cycle (SDLC) controls
- Testing data backup and recovery procedures
- Validating system uptime and disaster recovery readiness
Module 9: Self-Assessment Methodology and Tools - Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Planning a control testing strategy
- Understanding testing methods: inquiry, observation, inspection, reperformance
- Designing test scripts with clear objectives
- Specifying sample sizes based on control frequency and risk
- Performing walkthroughs to validate operating effectiveness
- Conducting sample selection using statistical and judgmental methods
- Documenting test results with supporting evidence
- Obtaining written confirmations from control owners
- Evaluating deviations and determining root causes
- Classifying control exceptions by severity
- Reporting findings to process owners for remediation
- Developing deficiency tracking logs
- Validating remediation actions before closing issues
- Using testing results to update risk assessments
- Preparing summary evaluation reports
Module 8: IT General Controls (ITGCs) and Systems Compliance - Defining the role of ITGCs in SOX compliance
- Understanding system access controls
- Managing user provisioning and de-provisioning
- Implementing role-based access controls (RBAC)
- Reviewing access rights for segregation of duties
- Monitoring privileged user activity
- Conducting periodic access reviews
- Emailing attestation reports to management
- Addressing orphaned accounts and excessive privileges
- Understanding change management controls
- Tracking application and infrastructure changes
- Requiring approvals for all production deployments
- Reviewing emergency change procedures
- Conducting backout planning for failed changes
- Verifying completeness of change logs
- Assessing program change controls for custom code
- Reviewing third-party software updates
- Evaluating system development life cycle (SDLC) controls
- Testing data backup and recovery procedures
- Validating system uptime and disaster recovery readiness
Module 9: Self-Assessment Methodology and Tools - Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Designing a formal SOX self-assessment program
- Developing self-assessment checklists for each process
- Creating standardised questionnaires for control validation
- Using scorecards to rate control effectiveness
- Implementing risk-based self-assessment intervals
- Assigning self-assessment responsibilities to process owners
- Reviewing self-assessment results for accuracy
- Escalating findings for further investigation
- Integrating self-assessments into performance metrics
- Using self-assessment data for audit planning
- Building dashboards for real-time control monitoring
- Automating self-assessment reminders and deadlines
- Linking self-assessment outcomes to training needs
- Using vendor tools to support self-assessment workflows
- Conducting follow-up reviews on recurring deficiencies
Module 10: Continuous Monitoring and Automation - Designing continuous controls monitoring (CCM) strategies
- Identifying processes suitable for automation
- Selecting key control performance indicators (CKPIs)
- Setting thresholds for automated alerts
- Using data analytics to detect anomalies
- Integrating monitoring with ERP systems (SAP, Oracle, NetSuite)
- Implementing transaction-level validation rules
- Tracking repeated control failures
- Reducing manual testing through smart automation
- Validating logic used in automated controls
- Documenting automated control design and operation
- Ensuring automated controls are user-access controlled
- Reviewing algorithm updates and parameter changes
- Using robotic process automation (RPA) in compliance
- Measuring ROI of continuous monitoring initiatives
Module 11: SOX Compliance Reporting and Disclosures - Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Preparing the Management Report on Internal Control
- Drafting disclosures for Form 10-K filings
- Describing material weaknesses in plain language
- Reporting on remediation plans for unresolved issues
- Distinguishing between known and unknown deficiencies
- Ensuring disclosures are timely and accurate
- Coordinating with external auditors on reporting scope
- Responding to auditor inquiries on reporting content
- Archiving reporting documents for historical reference
- Using standard templates for annual disclosures
- Obtaining legal and external audit review of disclosures
- Training spokespersons on SOX messaging
- Handling press inquiries related to compliance issues
- Updating disclosures after interim control changes
- Aligning internal reports with external disclosures
Module 12: External Audit Coordination and Readiness - Understanding the external auditor’s testing approach
- Preparing for auditor walkthroughs and inquiries
- Providing timely access to documentation and personnel
- Scheduling audit fieldwork and status meetings
- Responding to auditor requests for evidence
- Tracking auditor findings in real time
- Classifying auditor-identified deficiencies
- Developing action plans for auditor-suggested improvements
- Meeting pre-issuance review deadlines
- Negotiating findings based on evidence and context
- Resolving disagreements through documentation and data
- Obtaining final sign-off on auditor reports
- Archiving all audit communications and deliverables
- Using audit results to improve future cycles
- Conducting post-audit debriefs with stakeholders
Module 13: Managing Changes and Ongoing Compliance - Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans
Module 14: Certification and Career Advancement - Reviewing key lessons from the entire SOX framework
- Completing the final self-assessment project
- Submitting materials for Certificate of Completion review
- Earning your official certification from The Art of Service
- Using the certificate to demonstrate professional expertise
- Adding certification to LinkedIn and professional profiles
- Preparing for SOX-related interview questions
- Highlighting SOX experience in performance reviews
- Positioning yourself for internal audit or GRC roles
- Advancing toward chief compliance officer pathways
- Joining global networks of certified practitioners
- Gaining recognition from boards and senior management
- Continuing professional development with SOX updates
- Accessing alumni resources and job boards
- Guidance for next steps: CISA, CPA, CRMA, or CIA
- Assessing the SOX impact of organisational changes
- Evaluating mergers, acquisitions, and divestitures
- Integrating new subsidiaries into the SOX program
- Updating documentation for system upgrades
- Reassessing risks after staff turnover
- Reviewing changes in accounting policies
- Monitoring new regulatory developments
- Updating control frameworks to reflect business evolution
- Re-scoping the SOX universe annually
- Conducting pre-fiscal year kick-off planning
- Evaluating shared services and offshore operations
- Managing outsourced processes and third-party vendors
- Ensuring vendor controls are monitored and tested
- Auditing service organisation controls (SOC) reports
- Integrating SOX with internal audit plans