SmartSuite for the SOX Program Manager
The SOX Program Manager manages SOX scope, testing cycles, timelines and coordination across entities and auditors. They launch quarterly and annual cycles, track completion, exceptions and evidence submission, and escalate readiness risks to the Head of Internal Controls before certification deadlines.
What you own
- Define SOX scope, key controls and the annual programme calendar
- Launch quarterly and annual testing cycles with assignments
- Track completion, exceptions and evidence submission across entities
- Coordinate control owners, testers and external auditors
- Manage deficiency evaluation and remediation timelines
- Report readiness status and escalate risks before deadlines
Where the role sits
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Owns
accountable for the process
Touches
contributes or approves
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consumes its output
How SmartSuite helps, suite by suite
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How they use the SOX Management suite
Cycle management
Launches quarterly and annual testing cycles with automated assignments.
Testing coordination
Tracks completion, exceptions, and evidence submission across entities.
Status reporting
Monitors readiness and escalates risks before deadlines.
Suites that serve this role
Products this role uses most
How SmartSuite supports this role
Compliance management. Launches quarterly and annual testing cycles with automated assignments and tracks completion, exceptions and evidence across entities.
Internal audit. Gives external auditors controlled, traceable access to testing results and evidence.
Issues and actions. Tracks deficiencies and remediation with due dates and escalation.
Reporting. Monitors readiness with dashboards and escalates risks before certification deadlines.
Industry reference
SOX Section 302 requires quarterly executive certifications; Section 404(a) requires management's annual assessment of internal control over financial reporting and 404(b) the auditor's attestation for accelerated filers. PCAOB AS 2201 sets the top-down, risk-based approach the auditor follows, and COSO 2013 is the framework almost every registrant uses.
Equivalent programmes exist elsewhere: FDICIA Part 363 for larger banks, Japan's J-SOX, and the UK's material controls declaration under the 2024 Corporate Governance Code. Subsidiaries of registrants in healthcare, technology and other sectors inherit the programme regardless of their own listing status.
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