Pro actively engage Internal Audit, SOX, Compliance, Information security, Supplier Risk Management, Business Continuity and other assurance functions to support an integrated approach to Risk Management.

More Uses of the SOX Toolkit:


• Head: periodically perform control self assessments, test of design (tod), and limited test of effectiveness (toe) procedures in preparation for IT SOX testing.
  
  

• Identify: network/infrastructure security technologies (firewall, Access Control, Intrusion Detection, Intrusion Prevention, administrative Access Control) and compliance (PCI, SOX, HIPAA).
  
  

• Ensure you establish; understand and actively follow all IT Governance standards for Security, SOX, and Change Management approvals.
  
  

• Confirm your organization complies; address compliance and privacy issues based on the requirements for CCPA, GDPR, Sarbanes Oxley Act (SOX) etc.
  
  

• Be accountable for maintaining SOX processes for insurance Risk Mitigation program to ensure no material weaknesses or deficiencies.
  
  

• Oversee the development of documentation writing and gathering in accordance with policy and SOX auditing compliance.
  
  

• Support external SOX audits in accordance with standards and expectations set forth by the infra compliance team.
  
  

• Head: payroll is integrated with every part of the business and you operate in a constantly evolving and demanding environment.
  
  

• Manage: regulatory audits focused on Cybersecurity, Business Continuity and Disaster Recovery, it general controls, and end to end SOX controls testing.
  
  

• Secure that your business supports building quality in by understanding the security, SOX, compliance and regulatory needs; helps team deliver on the definition of done.
  
  

• Be accountable for working closely with the External Auditors and independent testers on the coordination of testing of Internal Controls in scope of SOX.
  
  

• Ensure you revitalize; send transfer directive to a station or vendor sending a part; specify shipping information, anticipated arrival times along with any special packaging or documentation needs.
  
  

• Follow through with error issues to resolution with frequent communication for update and resolution status.
  
  

• Supervise: partner with key client stakeholders to obtain and review evidence of compliance to support technical SOX, PCI, ISO, COSO and other compliance or audit requirements.
  
  

• Establish Internal Controls to identify policy violations and side agreements, adhering to Sarbanes Oxley (SOX) requirements.
  
  

• Ensure you supervise; lead Project Management efforts in relation to the implementation and on going monitoring of Roots SOX and Model Audit Rule program.
  
  

• Perform Risk Assessments, identify IT controls for significant processes, develop test procedures for SOX readiness.
  
  

• Warrant that your design provides organization management with consultative support in controlling and/or enhancing Processes And Systems in compliance with policies and regulations focused on SOX, SOC and other regulatory guidance.
  
  

• Identify and perform testing of all key Information security controls (SOX, GLBA, PCI) throughout your organization.
  
  

• Steer: over time, developing the SOX compliance function to move beyond SOX compliance and adding value across the end to end Financial Reporting controls process.
  
  

• Oversee: successfully lead the annual SOX compliance process ensuring all components and dependencies are managed on a timely basis to meet all deadlines.
  
  

• Supervise: monitor and report on emerging areas of non compliance risk and the effectiveness of operational and SOX controls.
  
  

• Direct: work closely with outside accounting organization to manage year end audits, tax work and implementation of SOX compliance.
  
  

• Ensure compliance with all internal and External Audit requirements and adherence to SOX controls and accounting policies.
  
  

• Contribute to the evolution of the SOX compliance program through improvement and standardization of all components of Internal Control.
  
  

• Ensure all Systems And Processes are documented in accordance with Internal Controls and SOX compliance regulations.
  
  

• Ensure all public organization compliance and standards can be met (role based information sharing, SOX, etc).
  
  

• Coordinate Information security Internal Audit, External Audit, regulatory and SOX review to help represent your organization from an Information security and Technology Risk perspective.
  
  

• Audit: deep dive in understanding cost structure and develop process / lead initiatives in cost control and compliance procedures as per SOX.
  
  

• Develop Data Governance, Policies and Procedures to ensure Data integrity and compliance with corporate, SOX and other regulatory, audit and compliance standards and controls.
  
  


Save time, empower your teams and effectively upgrade your processes with access to this practical SOX Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any SOX related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated SOX specific requirements:

STEP 1: Get your bearings

Start with...


• The latest quick edition of the SOX Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.


Organized in a Data Driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…


• Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation


Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 999 new and updated case-based questions, organized into seven core areas of Process Design, this Self-Assessment will help you identify areas in which SOX improvements can be made.

Examples; 10 of the 999 standard requirements:


1. How is the data gathered?
   
   

2. How much does SOX help?
   
   

3. What are evaluation criteria for the output?
   
   

4. Who should receive measurement reports?
   
   

5. How do you recognize an SOX objection?
   
   

6. To what extent does each concerned units management team recognize SOX as an effective investment?
   
   

7. How do you focus on what is right -not who is right?
   
   

8. How can you measure the performance?
   
   

9. Are there regulatory / compliance issues?
   
   

10. Do you need to do a usability evaluation?
    
    


Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:


• The workbook is the latest in-depth complete edition of the SOX book in PDF containing 994 requirements, which criteria correspond to the criteria in...


Your SOX self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:


• The Self-Assessment Excel Dashboard; with the SOX Self-Assessment and Scorecard you will develop a clear picture of which SOX areas need attention, which requirements you should focus on and who will be responsible for them:
  
  


• Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix

• Gives you a professional Dashboard to guide and perform a thorough SOX Self-Assessment

• Is secure: Ensures offline Data Protection of your Self-Assessment results

• Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:



STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage SOX projects with the 62 implementation resources:


• 62 step-by-step SOX Project Management Form Templates covering over 1500 SOX project requirements and success criteria:


Examples; 10 of the check box criteria:


1. Cost Management Plan: Eac -estimate at completion, what is the total job expected to cost?
   
   

2. Activity Cost Estimates: In which phase of the Acquisition Process cycle does source qualifications reside?
   
   

3. Project Scope Statement: Will all SOX project issues be unconditionally tracked through the Issue Resolution process?
   
   

4. Closing Process Group: Did the SOX project team have enough people to execute the SOX project plan?
   
   

5. Source Selection Criteria: What are the guidelines regarding award without considerations?
   
   

6. Scope Management Plan: Are Corrective Actions taken when actual results are substantially different from detailed SOX project plan (variances)?
   
   

7. Initiating Process Group: During which stage of Risk planning are risks prioritized based on probability and impact?
   
   

8. Cost Management Plan: Is your organization certified as a supplier, wholesaler, regular dealer, or manufacturer of corresponding products/supplies?
   
   

9. Procurement Audit: Was a formal review of tenders received undertaken?
   
   

10. Activity Cost Estimates: What procedures are put in place regarding bidding and cost comparisons, if any?


 
Step-by-step and complete SOX Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:


• 1.1 SOX project Charter

• 1.2 Stakeholder Register

• 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:


• 2.1 SOX Project Management Plan

• 2.2 Scope Management Plan

• 2.3 Requirements Management Plan

• 2.4 Requirements Documentation

• 2.5 Requirements Traceability Matrix

• 2.6 SOX project Scope Statement

• 2.7 Assumption and Constraint Log

• 2.8 Work Breakdown Structure

• 2.9 WBS Dictionary

• 2.10 Schedule Management Plan

• 2.11 Activity List

• 2.12 Activity Attributes

• 2.13 Milestone List

• 2.14 Network Diagram

• 2.15 Activity Resource Requirements

• 2.16 Resource Breakdown Structure

• 2.17 Activity Duration Estimates

• 2.18 Duration Estimating Worksheet

• 2.19 SOX project Schedule

• 2.20 Cost Management Plan

• 2.21 Activity Cost Estimates

• 2.22 Cost Estimating Worksheet

• 2.23 Cost Baseline

• 2.24 Quality Management Plan

• 2.25 Quality Metrics

• 2.26 Process Improvement Plan

• 2.27 Responsibility Assignment Matrix

• 2.28 Roles and Responsibilities

• 2.29 Human Resource Management Plan

• 2.30 Communications Management Plan

• 2.31 Risk Management Plan

• 2.32 Risk Register

• 2.33 Probability and Impact Assessment

• 2.34 Probability and Impact Matrix

• 2.35 Risk Data Sheet

• 2.36 Procurement Management Plan

• 2.37 Source Selection Criteria

• 2.38 Stakeholder Management Plan

• 2.39 Change Management Plan


3.0 Executing Process Group:


• 3.1 Team Member Status Report

• 3.2 Change Request

• 3.3 Change Log

• 3.4 Decision Log

• 3.5 Quality Audit

• 3.6 Team Directory

• 3.7 Team Operating Agreement

• 3.8 Team Performance Assessment

• 3.9 Team Member Performance Assessment

• 3.10 Issue Log


4.0 Monitoring and Controlling Process Group:


• 4.1 SOX project Performance Report

• 4.2 Variance Analysis

• 4.3 Earned Value Status

• 4.4 Risk Audit

• 4.5 Contractor Status Report

• 4.6 Formal Acceptance


5.0 Closing Process Group:


• 5.1 Procurement Audit

• 5.2 Contract Close-Out

• 5.3 SOX project or Phase Close-Out

• 5.4 Lessons Learned


Results

With this Three Step process you will have all the tools you need for any SOX project with this in-depth SOX Toolkit.

In using the Toolkit you will be better able to:


• Diagnose SOX projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices

• Implement evidence-based best practice strategies aligned with overall goals

• Integrate recent advances in SOX and put Process Design strategies into practice according to best practice guidelines


Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make SOX investments work better.

This SOX All-Inclusive Toolkit enables You to be that person.

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.