Navigating the financial services compliance landscape: A deep dive into SOX compliance

The Sarbanes-Oxley (SOX) Act continues to place significant requirements on financial services organizations. SOX Section 404 requires that organizations establish, maintain and regularly assess internal control over financial reporting (ICFR). Considering the level of effort needed to build and maintain an effective SOX program, it is imperative that organizations periodically assess the program to identify efficiencies, challenge risk assessment, review documentation, streamline risk and control self-assessments (RCSAs) and align testing efforts. 

On May 21, join Baker Tilly internal audit and compliance specialists for a webinar where they will delve into the intricacies of SOX compliance within the financial services industry. They will share steps for achieving both short and long-term compliance while balancing regulatory requirements with operational needs. Learn more about the current state of SOX compliance for financial services organizations, emerging strategies and the latest tools designed to streamline SOX compliance processes. Beyond this, we will also cover how to best understand the questions that will help you perform a comprehensive ‘health check’ on your SOX program to assess both efficiency and compliance. Questions will be encouraged throughout the webinar. 

Learning objectives: 

• State effective strategies for optimizing and rationalizing controls to enhance operational efficiency without compromising compliance standards 
• Describe insights into the leading practices of conducting risk assessments and leveraging risk and control self-assessments to identify potential control gaps and improve risk management processes 
• Discuss the importance of seamless collaboration with external auditors, ensuring a transparent and cooperative approach that aligns with regulatory expectations and reduces impact on your process owners
• Explain the latest tools and technologies designed to streamline SOX compliance processes, from documentation to reporting, enhancing overall efficiency and accuracy

Information about CPE eligibility: 

There are no prerequisites for this webinar, and advance preparation is not required. There is no cost to attend this webinar. A certificate of completion will be emailed to you four to six weeks after the event.  

Level: Overview  

CPE credit: One (1) hours total credit 

Field of study: Specialized Knowledge 

For more information regarding administrative policies such as complaint and refund policies, please email [email protected]. 

Baker Tilly is registered with the National Association of State Boards of Accountancy as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: nasbaregistry.org.