Maintain a structured inventory of SOX controls mapped to financial processes, risks, entities, and reporting assertions.
Assign clear ownership for each control and track execution status across teams, entities, and reporting periods.
Plan and execute management and audit testing with standardized procedures, reviewer workflows, and documented outcomes.
Centralize control evidence, approvals, and supporting documentation in an audit-ready repository with full traceability.
Capture control failures, assess severity, assign remediation actions, and track resolution through closure.
Support sub-certifications, management certifications, and executive sign-off with documented approvals and accountability.
Generate real-time dashboards and standardized reports showing testing progress, open deficiencies, remediation status, and readiness for leadership and auditors.
Link SOX controls and deficiencies directly to financial processes and enterprise risks to ensure complete context and defensible compliance.
Traditional SOX programs often rely on spreadsheets, point tools, or rigid GRC platforms that create manual effort and risk gaps. SmartSuite replaces fragmented processes with a single, connected system for SOX scoping, controls, testing, evidence, and remediation.
With a no-code platform, real-time dashboards, and automated workflows, teams maintain continuous SOX readiness without spreadsheet sprawl or last-minute scrambles.
Yes. SmartSuite supports the full SOX lifecycle — from entity and process scoping to control design, testing, deficiency tracking, remediation, and management reporting.
All activities are linked in one data model, ensuring traceability from financial statement assertions through final remediation.
Absolutely. SmartSuite supports SOX Business Process Controls (e.g., revenue, procurement, financial close) as well as IT General Controls (access, change, operations).
You can manage both in one platform or segment workflows by control type while maintaining shared evidence, testing history, and reporting.
SmartSuite provides structured testing workflows with automated task assignments, reviewer sign-offs, and evidence attachment.
Control owners, testers, and reviewers collaborate in one workspace, with full visibility into testing status, overdue items, and review outcomes — all tracked with audit-ready history.
Deficiencies are tracked from identification through remediation and validation. SmartSuite automatically assigns owners, tracks due dates, escalates overdue actions, and updates dashboards in real time.
Each deficiency links back to the impacted control, test, evidence, and financial assertion — ensuring complete context and accountability.
Yes. Real-time dashboards show testing completion, open deficiencies, remediation progress, and overall SOX readiness at any point in time.
Executives and SOX leaders no longer rely on static status decks — they can see live program health across entities, processes, and control categories.
SmartSuite enables secure collaboration with internal and external auditors through role-based access and shared evidence views.
Auditors can review testing results, evidence, and remediation status directly in the system — reducing back-and-forth requests and audit cycle time.
Yes. SmartSuite is built on a SOC 2 Type II certified infrastructure with enterprise-grade security controls including role-based permissions, SSO, 2FA, encryption, and full audit logs.
Access can be restricted by role, entity, process, or record to ensure sensitive SOX data is protected.
Most SOX teams can deploy SmartSuite in weeks, not months. Pre-built templates for SOX controls, testing, and remediation accelerate setup, while SmartSuite Studio allows teams to tailor workflows without developers.
This makes SmartSuite ideal for both first-time SOX implementations and modernization of mature programs.
Yes. SmartSuite supports multi-entity, multi-process, and multi-region SOX programs with hierarchical views, roll-up dashboards, and configurable governance.
Organizations can start with a single entity or process and scale to enterprise-wide SOX oversight without re-architecting the system.
Chief Financial Officer (CFO)
Oversees financial planning, spend governance, and cost optimization.
- Benefit Statement:
SmartSuite provides visibility into IT assets, renewals, and purchasing decisions to reduce waste.
- Benefit Source:
Cost metadata, renewal dashboards, vendor context.
Spend visibility
tracks renewals and planned refresh costs.
Governance
reviews purchasing patterns and vendor exposure.
Planning
supports budgeting with lifecycle and renewal insight.
Chief Audit Executive (CAE)
Oversees the annual audit plan and reports to the board and audit committee.
- Benefit Statement:
SmartSuite gives CAEs complete visibility across the audit lifecycle — enabling them to manage coverage, track risk trends, and deliver data-backed insights to leadership.
- Benefit Source:
Risk-linked audit planning, real-time dashboards, automated issue tracking, and executive-grade reporting tools.
Audit Oversight
Monitors coverage, engagement status, key risk indicators, and open issues.
Strategic Alignment
Links annual audit plans to enterprise risks and strategic objectives.
Board & Executive Reporting
Generates automated reports summarizing assurance activities and remediation progress.
SOX Program Manager
Manages SOX scope, testing cycles, timelines, coordination, and overall execution.
Benefit Statement
SmartSuite centralizes SOX execution and eliminates spreadsheet-driven tracking and follow-ups.
Benefit Source
Testing workflows, automated reminders, control libraries, dashboards.
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
Internal Controls Manager
Owns control design, documentation, consistency, and ongoing effectiveness.
Benefit Statement
SmartSuite ensures controls are executed consistently and documented with full traceability.
Benefit Source
Control libraries, testing history, evidence repositories, version control.
Control Design Oversight
Maintains standardized control definitions and frequencies
Test Review
Reviews results, validates evidence, and approves outcomes
Change Management
Tracks control updates and re-testing requirements
Control Owner / Process Owner
Maintains ownership over controls, ensuring they are designed and operating effectively within their assigned processes.
- Benefit Statement:
Reduces quarterly attestation effort by 50% through automated workflows that collect control evidence, testing results, and sign-offs in one connected workspace.
Forrester Compliance ROI Analysis, 2023 — organizations adopting automated attestations reduced manual attestation time by half.
Control Monitoring
Reviews assigned controls and updates testing results within the platform.
Evidence Documentation
Uploads and maintains supporting evidence for audit and compliance reviews.
Attestation Tracking
Completes and certifies quarterly control attestations through automated workflows.
Finance Manager / Accounting Manager
Supports SOX execution across financial close, reconciliations, and reporting processes.
Benefit Statement
SmartSuite links SOX controls to financial workflows for better coordination and fewer surprises.
Benefit Source
Linked records, dashboards, approval workflows.
Close Process Alignment
Ensures SOX controls align with close timelines
Documentation Support
Provides reconciliations and financial evidence
Deficiency Follow-Up
Coordinates remediation actions within finance teams
Internal Auditor
Conducts testing, documents results, and reviews audit evidence.
- Benefit Statement:
SmartSuite delivers transparent, audit-ready documentation with full testing history.
- Benefit Source:
Testing records, evidence libraries, dashboards.
Test Validation
Reviews control execution and supporting evidence
Issue Identification
Documents deficiencies and severity assessments
Assurance Reporting
Produces audit-ready summaries and findings
External Auditor
Reviews management’s SOX controls, testing, and evidence.
Benefit Statement
SmartSuite simplifies audit collaboration by providing controlled, traceable access to SOX data.
Benefit Source
Role-based access, evidence views, activity history.
Evidence Review
Accesses testing results and documentation securely
Issue Follow-Up
Tracks remediation progress without email back-and-forth
Audit Efficiency
Reduces rework through consistent, centralized records
Compliance Manager
Ensures third-party engagements meet internal policy standards and regulatory obligations across security, privacy, and operational domains.
- Benefit Statement:
SmartSuite provides compliance teams with a single source of truth for vendor evidence, certifications, and remediation activities.
- Benefit Source:
Policy mapping tools, document repositories, and audit-ready activity logs.
Policy Alignment
Maps vendor controls, documents, and certifications to compliance frameworks.
Audit Preparation
Aggregates evidence required for internal or external regulatory reviews.
Issue Management
Monitors open issues and verifies remediation progress.
Risk Manager
Works alongside Compliance to align risks, controls, and regulatory obligations.
- Benefit Statement:
SmartSuite bridges Risk, Compliance, and Audit functions through connected data models.
- Benefit Source:
Linked risk & control records, shared dashboards, and integrated issue management.
Risk Mapping
Links compliance obligations to enterprise risks.
Issue Monitoring
Tracks remediation progress and residual risk.
Assurance Coordination
Aligns compliance outcomes with audit and risk reporting.