Sarbanes-Oxley Consulting
Sarbanes-Oxley Advisory
for Every Stage of Compliance
First-Time SOX Implementation
We help pre-IPO and newly public companies build a SOX compliance program from the ground up -- designed to be effective from day one and scalable as the company grows.
Ongoing Advisory and Program Management
Strategic guidance on SOX program structure, scoping decisions, control design, and auditor coordination -- for companies that need senior expertise without full-time internal resources.
Remediation and Special Situations
Targeted advisory support for companies navigating material weakness remediation, significant control changes, or a first-year SOX 404(b) attestation.
100+
Successful transactions completed
20+
Years of experience
$5 - 50m
Average size of transaction
$20-200m
Average market cap of clients across tech, manufacturing & services
Sarbanes-Oxley Advisory Services for Public and Pre-Public Companies
What makes us different?
Sarbanes-Oxley is one of the most significant ongoing compliance obligations for public companies, and navigating it effectively requires more than following a checklist. The decisions made early in a SOX program — how controls are scoped, how processes are documented, how testing is structured — have lasting consequences for audit cost, management effort, and the company’s ability to maintain an effective control environment as it grows.
Corviniti provides Sarbanes-Oxley consulting to companies that need experienced advisory support at any point in their compliance journey. For pre-IPO companies, we advise on program design, help prioritize the controls that matter most, and ensure the framework is ready before the first SOX 404 assessment. For established public companies, we provide strategic guidance on program improvements, assist with auditor negotiations, and support management through complex compliance situations.
Our advisors have worked on both sides of the SOX process — as Big 4 auditors assessing ICFR and as management-side advisors building and maintaining compliance programs. That perspective shapes how we approach every engagement.
We help with:
- SOX Program Design: Advise on the overall structure of your SOX compliance program — scoping methodology, documentation approach, testing strategy, and governance framework.
- COSO Framework Implementation: Help management adopt and apply the COSO Internal Control framework, which is the standard used for SOX 404 assessments.
- Scoping and Risk Assessment: Advise on the identification of significant accounts, processes, and locations to include in the SOX scope, based on financial reporting risk.
- Control Design Advisory: Review and advise on the design of key controls to ensure they are appropriately structured to prevent or detect material misstatements.
- Auditor Relationship Management: Help management navigate the relationship with external auditors on SOX matters, including scope discussions, reliance decisions, and deficiency assessments.
- First-Year 404(b) Preparation: Advise companies facing their first external auditor attestation under SOX 404(b), helping ensure the program is ready for the higher standard of scrutiny that entails.
- Material Weakness Advisory: Provide strategic guidance on responding to identified material weaknesses — root cause analysis, remediation planning, disclosure language, and audit committee communication.
- SOX Program Assessment: Conduct an independent assessment of your existing SOX program to identify inefficiencies, gaps, and opportunities for improvement.
- Training and Capability Building: Provide training and guidance to internal finance and accounting teams on SOX requirements, control documentation, and testing procedures.
- Technology and Tools Advisory: Advise on GRC tools and technology that support SOX documentation, testing, and monitoring — helping companies move from manual processes to scalable systems.
Why Choose Us?
Big 4 expertise,
boutique agility
Corviniti brings Big 4 SOX experience to every consulting engagement — both from the auditor’s perspective and from management’s side. We understand what effective looks like, what auditors are actually testing for, and how to build a program that achieves both.
Startups and US Capital Markets are our focus
From pre-IPO companies building a SOX program for the first time to established public companies looking to improve or streamline their existing compliance framework, Corviniti provides advisory support calibrated to where you are.
- Pre-IPO and Newly Public Companies
- Built for Capital Markets (including IPO and SPAC transactions)
- Boutique Attention
- Big Four Experience
- Transaction Deadline Oriented
Contact Us To
Learn More
Call: (347) 472-1115
Email: info@corviniti.com
Tell us about your SOX situation and what you are trying to accomplish. We will respond within 24 hours.
Learn More From
Frequently Asked Questions
SOX consulting is advisory — we help you make decisions about program design, control structure, scoping, and strategy. SOX compliance support is execution — we help you actually run the testing cycle, prepare documentation, and manage the audit process. Many engagements involve both, and we provide both services.
Ideally 12 to 18 months before your target public date. The earlier you engage, the more time you have to design controls thoughtfully, make them genuinely operational, test and refine them, and address any gaps before your external auditors begin their assessment. Companies that build their SOX program in the final months before an IPO consistently face higher audit fees and more audit findings.
The Committee of Sponsoring Organizations (COSO) Internal Control framework is the standard framework used for evaluating ICFR under SOX. It organizes internal controls into five components: control environment, risk assessment, control activities, information and communication, and monitoring activities. Management’s SOX 404 assessment must be based on a recognized framework, and COSO is by far the most widely used. We help companies apply COSO in a practical, appropriately scaled way.
The auditor relationship is one of the most important and often most challenging aspects of SOX compliance. We help management understand what auditors are testing, how to present documentation effectively, and when to push back on auditor positions that are not well-founded. We also help companies negotiate the scope of auditor reliance on management’s testing — which directly affects audit fees.
Yes. Many companies at a certain scale benefit from moving their SOX documentation and testing from spreadsheets to a dedicated GRC platform. We help evaluate options, assess fit for your program’s complexity, and advise on implementation. The right tool reduces the ongoing effort of running a SOX program significantly.
A right-sized SOX program has the controls necessary to prevent or detect material misstatements in the financial statements — no more, no less. Many companies, particularly those that built their program quickly ahead of an IPO, end up with programs that are over-engineered relative to their actual financial reporting risks. This increases cost and management burden without improving the quality of financial reporting. We help identify where programs can be simplified without creating compliance gaps.
Yes. We regularly work with foreign private issuers and companies with cross-border structures, including IFRS reporting, US GAAP reconciliations, and multi-entity consolidations for companies with domestic and international subsidiaries.
In most cases, we can begin within a few days of finalizing our agreement. Our onboarding process is straightforward — a brief discovery session, a clear statement of work, and secure access setup. We do not have lengthy intake procedures that delay the start of actual work.
