SOX Compliance Management App

The MetricStream SOX Compliance Management App enables you to establish a comprehensive internal controls system that addresses Sarbanes-Oxley compliance requirements including SOX 404 and SOX 302. The App provides the ability to define, test, and monitor internal controls based on multiple control frameworks such as COSO. It also streamlines control surveys and assessments, while simultaneously rolling up findings from across the business for review and certification. A built-in library of over 1,500 tests enhances control testing.

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Features

Process Design and Setup

Provides capabilities to define, design, and improve internal controls; captures and maps in-scope processes, sub-processes, risks, controls, and control tests in a cohesive framework

Scope and Planning

Helps identify significant accounts, disclosures, and business processes for control testing; supports risk assessments at various levels to determine the nature, timing, and extent of control testing

Control Evaluation and Testing

Enables a systematic, consistent approach to control assessments based on predefined checklists, surveys, and other criteria; provides advanced tools to score, tabulate, and report results

Certification and Attestation

Supports compliance with the certification requirements under SOX 302 and SOX 404 for internal control effectiveness

Remediation and Disclosure

Supports remediation action for control deficiencies and issues; routes each case back to internal auditors to ensure that the issues have been effectively addressed before closure

SOX Compliance Monitoring

Provides enterprise-wide visibility into SOX compliance; highlights key issues; enables real-time tracking of control status, process ownership, assessment plans, and other factors

Reporting

Offers both standard and custom control monitoring reports; provides a consolidated view of SOX compliance metrics, as well as quarterly and monthly trend analyses

Benefits

  • Simplify SOX compliance by integrating compliance and controls activities in a single system
  • Enable a systematic and consistent approach to SOX compliance. Minimize deviations and redundancies
  • Reduce compliance costs by streamlining and automating control testing and remediation
  • Shift control tasks to process owners. Enable auditors to focus on testing and oversight
  • Gain comprehensive, real-time visibility into the status of SOX compliance. Proactively lower risk exposure
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