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Sarbanes-Oxley (SOX) Compliance

Driving SOX Compliance with Precision: Reducing Risk, Controlling Cost

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Sarbanes‑Oxley (SOX) Solutions

Expert SOX compliance services to reduce risk, control cost, and ensure accurate financial reporting aligned with the Sarbanes‑Oxley Act, COSO, and PCAOB standards.

Certified Experts — ACA, ACCA, CISA, CRISC, CIA, CISSP

Proven Methods — Risk‑based scoping, control design review, testing, and remediation

End‑to‑End Delivery — From planning to reporting and auditor liaison

Regulatory Alignment — SOX 404, ICFR, and ITGC compliance

Sarbanes-Oxley Solutions

We help organisations build, streamline, and transform SOX programs—backed by deep expertise in Sarbanes-Oxley and COSO frameworks.

What we deliver:

  • Actionable insights on evolving regulations
  • Proven frameworks tailored to your business
  • Dedicated specialists focused solely on SOX
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Our Service Models

Staff Secondment

Embed SOX‑experienced auditors into your team to support walkthroughs, control testing, and remediation tracking.

SOX Outstaffing

On‑demand access to remote‑ready SOX specialists for peak periods, year‑end testing, or accelerated compliance deadlines.

Outsource

A fully managed, tech‑enabled SOX compliance program—covering scoping, control design, testing, and reporting.

Co‑source SOX Support

Partner with us to enhance assurance over key SOX controls. We bring specialist insight, proven frameworks, and agile delivery.

Partnering for SOX Compliance Success

Wherever you are on your SOX compliance journey, Global Forum Consulting delivers the technical expertise and strategic guidance you need to navigate the complexities of achieving and maintaining compliance with the Sarbanes-Oxley Act of 2002.

SOX 302 – CEO/CFO Certification Support

We help executive teams meet SOX 302 requirements by assessing internal controls, addressing control gaps, and preparing clear reports for boards and audit committees—ensuring certifications are based on accurate, reliable financial data.

SOX 404 – Internal Control & Assurance

We provide end-to-end SOX 404 support, from scoping and control design to testing and remediation. Our approach covers business and IT controls, including IPE and key reports, and supports complex events like M&A and restructures.

Outsourced SOX Compliance

We deliver a fully managed, tech-enabled SOX compliance solution that integrates seamlessly with your organisation—providing end-to-end control execution, real-time visibility, and enhanced collaboration across finance, audit, and risk functions.

Co-Sourced SOX Compliance Support

We work alongside your internal team to enhance SOX compliance capability—embedding specialist expertise, strengthening control assurance, and providing flexible, insight-driven support. From targeted control reviews to full Section 404 delivery, our co-source model adapts to your needs and evolves with your risk landscape.

Choose Your SOX Compliance Service

SOX Programme Implementation & Readiness

Value Proposition: Build a strong foundation for SOX 404 compliance through tailored scoping, documentation, and certification support.

Delivered Benefits:
  • Perform risk-based SOX/ICFR scoping and readiness assessments to identify gaps and priorities
  • Establish a clear roadmap for successful SOX programme implementation
  • Develop process documentation and identify key risks and controls aligned to SEC and PCAOB expectations
  • Enhance control design and documentation quality using tailored, tech-enabled SOX tools
  • Design and deploy an efficient SOX certification process across the organisation
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SOX Controls Diagnostic & Optimisation

Value Proposition: Strengthen and streamline your existing SOX compliance framework through targeted diagnostics, control rationalisation, and automation.

 
 
Delivered Benefits:
  • Conduct a comprehensive diagnostic of your existing SOX control framework to identify unmitigated risks and control gaps
  • Assess SOX maturity and validate your compliance approach against SEC and PCAOB expectations
  • Identify opportunities to streamline, rationalise, and automate controls for greater efficiency
  • Enhance control effectiveness and reduce testing burden through optimisation
  • Leverage deep regulatory and digital audit expertise to future-proof your SOX program
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SOX Automation & Innovation

Value Proposition: Modernise your SOX program through automation, data-driven testing, and scalable delivery models to increase speed, accuracy, and efficiency.

Delivered Benefits:
  • Automate SOX workflows and control execution using tools like SOX VUE and RPA
  • Accelerate testing with proprietary data-driven tools and intelligent testing accelerators
  • Improve control effectiveness and reduce manual effort through process digitisation
  • Leverage global delivery centres for scalable, cost-efficient support
  • Enable continuous improvement through innovation in testing and compliance operations
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UK Corporate Governance Reform

Value Proposition: Prepare confidently for the 2024 UK Corporate Governance Code updates with tailored support across risk, controls, and internal governance.

Delivered Benefits:
  • Navigate the FRC’s 2024 Code updates, including Provision 29, with expert guidance on board-level risk and internal control oversight
  • Design and implement robust internal control frameworks aligned to the three lines of defence
  • Meet new Director's Annual Internal Control Declaration requirements with confidence
  • Streamline control operations using AI, automation, and analytics to improve insight, reduce error, and enhance efficiency
  • Develop tailored risk, control, and programme strategies aligned to your organisation’s structure and strategic objectives
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SOX Controls Testing & Remediation

Value Proposition: Sustain a high-performing, audit-ready SOX environment through automated testing, continuous monitoring, and pragmatic remediation support.

Delivered Benefits:
  • Perform automated IT and business control testing with real-time SOX dashboards
  • Strengthen audit readiness with accurate walkthroughs and independent testing
  • Adapt your SOX program to evolving risks and regulatory changes
  • Adapt your SOX program to evolving risks while fostering a controls-first culture through targeted training.
  • Design and implement effective, SOX-compliant remediation plans to address control gaps
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SOX Programme Management & Training Support

Value Proposition: Strengthen SOX programme delivery through structured PMO oversight and targeted training to build capability and drive accountability.

Delivered Benefits:
  • Establish and support SOX governance, reporting, and oversight structures
  • Track budgets, resources, testing progress, and remediation status with clarity
  • Coordinate cross-functional SOX activities through a centralised PMO
  • Deliver online and in-person training to build SOX knowledge and awareness
  • Embed compliance ownership and accountability across the organisation
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Our SOX Compliance Approach

SOX Compliance, Simplified. Trusted Experts. Proven Results.

Step Description
1. Risk Assessment, Scoping & Project Management We begin with a risk-based assessment to define scope, establish timelines, and align stakeholders across the programme.
2. Walkthroughs & Control Design Assessment We document processes, assess existing controls, and identify gaps or improvement opportunities based on control objectives.
3. Testing of Operating Effectiveness Our team conducts detailed testing of both business and IT controls to evaluate design and operational effectiveness.
4. Deficiency Evaluation & Aggregation We analyse control test results, assess impact and severity, and support deficiency aggregation in line with regulatory guidance.
5. Remediation Monitoring & Validation We track remediation efforts, validate completed actions, and ensure control gaps are properly closed.
6. Reporting & External Auditor Liaison We prepare clear, audit-ready reports for management and facilitate coordination with your external auditors to streamline the review process.

Ready to Get Started with Global Forum Consulting?

In 4 Simple Steps, We’ll Get You Set Up for Success

01.

Risk Assessment & Scoping

Define SOX scope, identify key processes, and set timelines.

02.

Walkthroughs & Control Design Review

Document processes, assess control design, and identify gaps.

03.

Testing & Deficiency Evaluation

Test operating effectiveness, evaluate results, and aggregate deficiencies.

04.

Remediation & Reporting

Track remediation, validate fixes, and prepare audit‑ready reports for management and external auditors.

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Why Choose Global Forum Consulting?

Proven SOX Expertise

15+ years helping organisations design, test, and optimise internal controls over financial reporting.

Certified Professionals

ACA, ACCA, CISA, CRISC, CIA, and CISSP‑qualified specialists with deep SOX, COSO, and PCAOB knowledge.

Efficient, High‑Quality Delivery

Agile, tech‑enabled testing and reporting to meet tight filing deadlines without compromising quality.

Best Price Promise

Transparent, upfront pricing with no surprise fees or hidden charges

Security & Governance First

Embedding ITGC testing and best‑practice frameworks into every SOX engagement.

Regulatory Alignment

Full compliance with SOX 404, ICFR, and PCAOB standards, with seamless coordination with external auditors.

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