Understanding, Experience, and Technology for Compliance

Integrating Testing of Controls for SOX and other Regulations with Internal Audit

The internal audit function played a critical role for many companies during year one of SOX, providing key personnel and skills for Documenting, evaluating, testing, and remediating controls. Consequently, supporting SOX compliance is getting added to the internal auditing function along with the tasks of operational, systems and special project audit work.

To support this extension of internal auditing, companies need to create a common framework of controls for overall compliance requirements and perform integrated testing as a part of the ongoing internal audits program. Well designed technology solutions to support such programs can deliver substantial benefits, including more timely and accurate information regarding performance of controls and improved oversight for management not only for SOX, but for the entire spectrum of compliance requirements and corporate policies.

In this webinar, we will discuss the key issues around integrating testing of controls for SOX and other regulations with internal audits, including:

  • A controls framework that extends beyond SOX into other regulations 
  • Tools for effective audit planning, resource utilization, compliance monitoring
  • Leveraging technology for implementing application-based IT controls
  • Business process automation and records management for controls testing

Charles B. Goldenberg
Vice President - Governance, Risk and Compliance Solutions

Gaurav Kapoor
CFO and General Manager

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