Enterprise Risk, Internal Audit, SOX and Compliance

SOX & Internal Audit Testing

Stay on top of your global Risks, Controls, and Testing Status – including on your smart phone!

• Import and maintain all your RCMs and Narratives – not just Sarbanes-Oxley (SOX) but also NIST, ISO, GDPR access to each RCM
• Leverage Big 4-class Walk-through & Test of Controls templates, with PBC evidence and managerial reviews & approvals workflows
• View results of your team’s control testing, risk assessments and certifications in real-time. No more update meetings!
• Control access to each RCM effortlessly

Enterprise Risk Management

Drive in-depth, yet, easy stakeholder collaboration to measure and heat-map risks, live. Audit Committees and CFOs love it.

• Best-in-class aggregation of stakeholder feedback – in 5 Dimensions, not just Likelihood and Impact.
• Dynamically compare, analyze and share changes in risk profiles by quarter, business unit etc, with Audit Committee and C-Suite.
• Assign process owners and track mitigation actions for each heat-mapped risk, across the enterprise

Certifications & Surveys

Automated, on-record risk, privacy, policy, vendor, SOX, and other compliance self-assessments

• Create compliance questionnaires and information requests, distribute at multi-levels with workflows
• Collect responses, including documentation and quickly identify exceptions and assign to process owners for remediation
• Repeat with effortless cloning and track live status with dashboards and reports

Issues Management

All Issues or Deficiencies, at your fingertips – including two-way collaboration with process owners. Integrated with testing failures.

• Communicate Issues efficiently and in real-time with process owners
• Collect one-click process owner responses, including evidence of corrective actions. All with automated workflows.
• View and report real-time status of various stages of remediation – with dashboards and reports

PBCs (Documents Exchange)
Including Audio & Video files

No more document requests via emails and saving/searching in shared folders! Includes not only Office products (Word, PPT etc.) but also PDF, PNG, JPEG and audio and video files.

• Request documents with due dates from process owners, including by Control or Project – share examples
• Collaborate seamlessly through automated workflows, including with external auditors
• Communicate with process owners with two-way texting and reminders. Track real-time status of requests.

People & Project Management

Eliminate the inefficiencies, team frustrations, and unpredictability of project execution, with the best of Agile and Waterfall methods.

• Organize your Annual Plan into bite-size Projects – including your SOX testing, with Plan Hours and Phases (Planning/Fieldword/Reporting etc.)
• With real-time visibility of Resource Availability data, flex on the dime when plans / schedules need to change
• Report Time and Phase Completion to track project progress and delays in real-time

Integrated Flowcharts

Effortlessly map your processes (integrated with your RCM) and collaborate with process owners

• Visually integrate your processes to your Risks, Controls, and Projects.
• Seamlessly update your flowcharts when you update your SOX Risks, Controls, or Projects.
• Control access to process owners, so they maintain their own processes.

Task Management

Streamline your recurring tasks or checklists – effortless collaboration, accountability and real-time status. Monthly Book Close, Reporting, AC Preparation, Compliance etc.

• Easy, consistent execution and accountability
• Define dependencies and keep the team on the same page, automatically
• Avoid unproductive emails/meetings on status catch-ups

Dashboards & Reports

Stay on top of your KPIs with customizable and drill-down dashboards, with real time data – including on your mobile devices.

Run customizable, real time and Excel-exportable reports on the fly. These reports keep track of the Team Availability / Schedules, Projects, RCMs, SOX testing results, Issues, PBCs and much more – without chasing after outdated data.

Integrated Document Management

We built the power of collecting and storing supporting documentation – not just PDF and Office applications but also audio and video files – into each module and template. For you as well as process owners.

Unlike Sharepoint and other file folders, you can request, receive, store and access documents where they are needed, be it with Audit Testing Templates, Issues, Certifications, Risk Assessments, External Audit Requests etc.