Sarbanes-Oxley compliance

Opportunities to reduce costs and improve compliance

Why PwC SOX Compliance Solutions?

Regulatory complexity is increasing, business risks are evolving and the compliance challenges of today may not be the same tomorrow. PwC’s Sarbanes-Oxley (SOX) Compliance Solutions takes these factors—and their impact on compliance strategy, structure, people, processes and technology—into consideration through a strategic management lens.

Our proprietary Five Attributes of SOX Excellence model goes beyond the control framework to help you leverage leading practices and be deliberate about sustaining an agile SOX compliance program that balances quality compliance and cost over the long-term. Using this approach, we have worked with clients to improve quality and lower their SOX costs by 25% or more.

SOX: Common Leading Indicators



High-performing companies sustain an effective balance between quality and cost over the long-term

How PwC can help you balance SOX quality and cost over the long-term

Based on our analysis and experience working with leading compliance programs that have consistently performed and sustained quality and cost effective SOX compliance, PwC identified a set of common characteristics - the five attributes of SOX excellenceOur leading practice framework and performance model brings clients additional insights which can enable enhanced performance for your SOX program, via:

  • Improved quality – of the overall program and Internal Controls over Financial reporting, in line with most recent regulatory expectations
  • Reduced level of effort – by balancing cost through conscious decisions around strategy, structure, people, processes and technology
  • Enhanced reliability – increasing the use of management’s work by the independent auditor from enhanced competence and objectivity of testing
  • Increased alignment – of organizational governance, risk and compliance efforts
  • Talent redeployment – from compliance activities to more strategic business priorities

Strategic SOX Program Assessment

Many organizations see a high level benchmarking exercise as the path towards SOX effectiveness. However, we have found that this approach often creates misleading results that may not enable effective decision-making. Identifying and then realizing optimal enhancements and savings requires an understanding of the organization’s environment and deep expertise to trigger opportunities at the source. By performing an objective assessment of your SOX compliance program, and leveraging the Five Attributes of SOX Excellence, you can accelerate your journey to improved quality and cost savings.

SOX IPO readiness

Going public is a chance to grow and capture new market opportunities. With ever-changing regulatory requirements and extensive internal financial scrutiny now mandatory, it’s clear that a successful IPO today takes more due diligence than ever. Having an advisor with the right experience and insight can make the difference in helping you achieve your objectives and navigate key decisions to deliver an effective SOX compliance program for years to come.

Click here for more information on IPO readiness.

Contact us

Princy Jain
Controls Testing & Monitoring Solutions Leader
Tel: +1 (408) 817 3870

Michelle Hubble
Internal Audit Solutions Center of Excellence Leader
Tel: +1 (309) 680 3230

Lisa Hauser
Managing Director, Internal Audit, Compliance & Risk Management Solutions
Tel: +1 (612) 596 4740

Martin Preedy
Director, Internal Audit, Compliance & Risk Management Solutions
Tel: +1 (917) 860 4556

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