Template

SOX Compliance Checklist

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A SOX compliance checklist is used by the management team of publicly-traded companies to evaluate their compliance with the Sarbanes-Oxley Act and improve areas where potential noncompliance can occur. Use this checklist as a practical application of Section 404: Management Assessment of Internal Controls because it seems to cause the most difficulties for compliance.

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Free 1,000+ Workplace Checklists & Templates created by the SafetyCulture team.

Template
SOX Audit Checklist
A SOX audit checklist is a tool used by internal auditors to verify the implementation of security controls, focusing on Section 302: Corporate Responsibility of Financial Records and Section 404. Use this checklist to assess the company's safeguards to prevent data tampering, track data access, and detect security breaches. This checklist also includes appropriate measures for disclosure to SOX Auditors.
by SafetyCulture
Downloads: 400+
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Template
SOX Compliance Checklist for Section 404 Readiness
This SOX compliance checklist helps management assess and document Section 404 internal controls over financial reporting. It guides a top-down, risk-based approach; ownership by operating management; effective change management; and timely remediation of deficiencies. It covers optimizing reliance on automated and higher-level controls, coordinating with internal and external auditors, and scheduling walkthroughs and testing to mid-year with updates before year-end. The checklist also addresses resource planning, fraud risk assessment, service provider reports (e.g., SAS 70), ongoing KPI reporting to executives, and escalation of issues to ensure year-end readiness and robust control effectiveness.
by Amine Bouchane, from the Community
Downloads: 0
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Template
SOX Audit Checklist for Sections 302 and 404
This SOX audit checklist helps internal auditors assess controls required by Sections 302 and 404. It focuses on preventing data tampering, timestamping and secure storage of records, tracking and logging access from multiple sources, and ensuring safeguards are operational through scheduled reporting. It also covers breach detection using correlation and alerting, use of ticketing for incident tracking, and role-based permissions for auditor access. The checklist guides regular effectiveness reporting and proper disclosure of safeguards, breaches, and failures to SOX auditors.
by Patience Curtis, from the Community
Downloads: 10+
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Template
SOX Audit Checklist
A SOX audit checklist helps internal auditors evaluate the effectiveness of controls required under Sections 302 and 404. This template guides teams to prevent data tampering, timestamp and store logs securely, track and report access, correlate security events, and disclose safeguards, breaches, and failures to auditors. Use it to standardize IT governance, generate reports, and capture sign-offs and observations.
by matthew know, from the Community
Downloads: 10+
Get

SOX Audit Checklist

A SOX audit checklist is a tool used by internal auditors to verify the implementation of security controls, focusing on Section 302: Corporate Responsibility of Financial Records and Section 404. Use this checklist to assess the company's safeguards to prevent data tampering, track data access, and detect security breaches. This checklist also includes appropriate measures for disclosure to SOX Auditors.

by SafetyCulture

400+

Get

Template

SOX Compliance Checklist for Section 404 Readiness

This SOX compliance checklist helps management assess and document Section 404 internal controls over financial reporting. It guides a top-down, risk-based approach; ownership by operating management; effective change management; and timely remediation of deficiencies. It covers optimizing reliance on automated and higher-level controls, coordinating with internal and external auditors, and scheduling walkthroughs and testing to mid-year with updates before year-end. The checklist also addresses resource planning, fraud risk assessment, service provider reports (e.g., SAS 70), ongoing KPI reporting to executives, and escalation of issues to ensure year-end readiness and robust control effectiveness.

by Amine Bouchane, from the Community

Get

Template

SOX Audit Checklist for Sections 302 and 404

This SOX audit checklist helps internal auditors assess controls required by Sections 302 and 404. It focuses on preventing data tampering, timestamping and secure storage of records, tracking and logging access from multiple sources, and ensuring safeguards are operational through scheduled reporting. It also covers breach detection using correlation and alerting, use of ticketing for incident tracking, and role-based permissions for auditor access. The checklist guides regular effectiveness reporting and proper disclosure of safeguards, breaches, and failures to SOX auditors.

by Patience Curtis, from the Community

10+

Get

Template

SOX Audit Checklist

A SOX audit checklist helps internal auditors evaluate the effectiveness of controls required under Sections 302 and 404. This template guides teams to prevent data tampering, timestamp and store logs securely, track and report access, correlate security events, and disclose safeguards, breaches, and failures to auditors. Use it to standardize IT governance, generate reports, and capture sign-offs and observations.

by matthew know, from the Community

10+

Get

SOX Compliance Checklist

With SafetyCulture you can

Digitize team workflows

Reduce manual errors

Create and share inspection reports

About author

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