Modernizing SOX Compliance Management
SmartSuite helps organizations manage SOX compliance with confidence by connecting risks, controls, testing, evidence, and remediation in one unified platform. Replace spreadsheets and disconnected tools with structured workflows, real-time visibility, and audit-ready execution across the entire SOX lifecycle.
One Platform for Connected SOX Compliance
SmartSuite modernizes SOX compliance by connecting financial processes, risks, controls, testing, and remediation in one unified system. Eliminate spreadsheets, improve execution discipline, and maintain continuous audit readiness throughout the year.
SOX Scoping
Define and manage in-scope entities, processes, and controls.
Control Testing
Standardize testing and evidence collection across cycles.
Deficiency Tracking
Identify, escalate, and remediate control failures.
Audit Reporting
Deliver real-time insights for management and auditors.
Core Capabilities of the SOX Management Suite
SmartSuite provides an end-to-end solution for managing SOX compliance — from control scoping and testing to deficiency remediation and executive certification — in one flexible, no-code platform.
Execute SOX compliance with confidence, consistency, and continuous readiness.
Unify SOX scoping, control execution, testing, evidence collection, deficiency management, and reporting in one connected workspace. SmartSuite links SOX controls directly to financial processes, risks, remediation actions, and certifications — providing visibility, audit-ready documentation, and confidence at every stage of the SOX lifecycle.
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.
Define Scope and Ownership Across the SOX Program
Establish a clear, defensible SOX scope with defined ownership across entities, processes, and controls. SmartSuite centralizes SOX scoping so nothing falls through the cracks.
Highlights:
- Centralized SOX control inventory mapped to financial processes and assertions.
- Clear control ownership by entity, process, and reporting period.
- Linked records connecting controls to risks, processes, and documentation.
Execute Control Testing with Consistency and Efficiency
Standardize SOX testing workflows for management and audit teams. SmartSuite automates testing steps while maintaining full traceability and reviewer oversight.
Highlights:
- Standardized SOX testing procedures and templates.
- Automated task assignments, review routing, and reminders.
- Linked testing results, evidence, and reviewer sign-offs.
See SOX Management in Action
Watch how SmartSuite simplifies SOX compliance by connecting controls, testing, evidence, and remediation in one unified platform.
Capture Evidence and Manage Deficiencies in One Place
Eliminate scattered evidence and manual follow-ups. SmartSuite centralizes documentation and deficiency management to keep your SOX program audit-ready at all times.
Highlights:
- Centralized evidence repository with version history.
- Deficiency tracking with severity assessment and root cause documentation.
- Linked remediation plans with owners, deadlines, and validation steps.
Monitor SOX Readiness with Dashboards
Replace spreadsheets and static reports with live visibility into SOX execution, testing progress, and remediation status across the enterprise.
Highlights:
- Real-time dashboards for testing progress and open deficiencies.
- Drill-down views by entity, process, control, or owner.
- Executive-ready reporting for leadership and audit committees.
Support Certifications and Executive Sign-Off with Confidence
Enable sub-certifications, management certifications, and executive sign-offs with full documentation and accountability.
Highlights:
- Automated certification and attestation workflows.
- Documented approvals and decision history for auditors.
- Linked certifications tied to control status, testing, and remediation outcomes.
Built For Modern SOX Programs
SmartSuite delivers enterprise-grade SOX compliance with the flexibility teams need to adapt to evolving requirements. Start where you need, scale as complexity grows, and unify SOX with the rest of your governance ecosystem when you’re ready.
Adopt a Core SOX Capability
Begin with SOX Control Management, Control Testing, or Evidence Collection to replace spreadsheets and manual tracking—demonstrating fast, measurable improvement in control execution and audit readiness.
Roll Out the Full SOX Program
Manage SOX end-to-end—from scoping and testing to deficiencies, remediation, and certifications—with standardized workflows, ownership, and live visibility across entities and processes.
Connect SOX to Enterprise GRC
Link SOX controls, testing, and deficiencies to enterprise risks, compliance obligations, audits, and remediation activities—creating a single source of truth for financial governance and assurance.
Explore Further
Read about how SmartSuite helps organizations modernize SOX compliance, strengthen internal controls, and maintain continuous audit readiness with connected workflows and visibility.
Frequently Asked Questions
Answers to the most common questions about SmartSuite’s SOX Management capabilities.
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.
See How SmartSuite Modernizes SOX Management
Experience how SmartSuite unifies SOX scoping, control management, testing, and remediation in one platform — giving Finance, SOX, and Audit teams continuous visibility and confidence.
What the research shows
Independent research on what SOX compliance effort costs teams today, and what changes when the work lives in one system.
Source: Protiviti, The Evolution of SOX: Tech Adoption and Cost Focus Amid Business Changes, Cyber and ESG Mandates (2023): 58% of 564 respondents said the hours their organizations devoted to SOX compliance increased in fiscal year 2022 (https://www.protiviti.com/sites/default/files/2023-09/2023-sox-compliance-survey-protiviti.pdf).
of respondents reported more SOX compliance hours in fiscal year 2022
Automated workflows, centralized evidence, and standardized testing reduce delays across quarterly and annual SOX cycles.
Source: Protiviti, Empowering the Progress of SOX Innovation with Analytics and Automation (2024): only 35% of participants in a June 2024 Protiviti and AuditBoard webinar poll said their organizations maximize enabling technologies to manage SOX compliance costs (https://www.protiviti.com/us-en/whitepaper/empowering-sox-innovation).
of poll participants maximize enabling technologies to manage SOX costs
Connected control records and automated reminders reduce repetitive follow-ups and email-based evidence tracking.
Source: KPMG, Trends in Material Weaknesses for Non-IPO Companies, 2025: 236 companies, 31% of those filing a report with a material weakness in 2020 to 2024, reported material weaknesses in multiple years (https://kpmg.com/us/en/articles/2025/trends-material-weaknesses-non-ipo-companies.html).
of companies with a material weakness reported it in multiple years
Linked findings, ownership, and remediation workflows help teams track issues through to closure.
Source: KPMG, The Future of SOX: A point of view for 2030 and beyond (2026), excerpting The 2025 SOX Survey: 52% of Internal Audit departments dedicated more than 40% of their total Internal Audit hours to SOX compliance in FY 2024 (https://kpmg.com/kpmg-us/content/dam/kpmg/pdf/2026/future-sox-point-view-2030-beyond-new.pdf).
of internal audit departments give over 40% of their hours to SOX
Audit-ready documentation and dashboards give internal and external auditors one place to review controls and evidence.
Key Benefits of the SOX Management Suite
Public companies need consistent control execution, disciplined testing, and defensible documentation. SmartSuite delivers a linked SOX system that strengthens compliance while reducing operational burden.
SOX Visibility, Control Coverage & Readiness
Centralize SOX scope, processes, risks, controls, testing, evidence, and issues in one system.
Monitor control coverage, testing status, deficiencies, and remediation progress live.
Link financial processes, risks, controls, tests, evidence, and findings for full audit transparency.
Track progress across quarters, interim testing, and year-end readiness without manual status reporting.
Give Finance, IT, Internal Audit, and Compliance shared visibility into SOX responsibilities.
Ensure every SOX control has a clear owner, frequency, and accountability.
Testing Efficiency, Automation & Execution
Run SOX tests using consistent procedures, templates, and scoring across cycles.
Route evidence requests with reminders and deadlines to reduce follow-ups.
Automate quarterly, semi-annual, and annual SOX testing cycles.
Test ITGCs and business controls within the same workflow.
Surface control failures early and route issues automatically for remediation.
Use the AI Assistant to generate testing summaries, deficiency narratives, and auditor responses.
Governance, Audit Confidence & Executive Assurance
Maintain complete histories of testing, evidence, approvals, and changes.
Track significant deficiencies, material weaknesses, and corrective actions to closure.
Capture control updates, process changes, and retesting decisions with full traceability.
Provide auditors controlled access to testing results and supporting evidence.
Support single-entity or complex multi-entity SOX environments.
Update SOX scope, controls, workflows, and dashboards without IT dependency.
Move Beyond Spreadsheets with Connected SOX Workflows
SmartSuite helps SOX teams eliminate manual tracking and disconnected tools. Automate testing, centralize evidence, track remediation, and maintain audit-ready SOX compliance year-round.
How the SmartSuite Platform Powers SOX Management
SmartSuite connects SOX scoping, controls, testing, evidence, and remediation into one integrated platform — reducing complexity while strengthening internal controls.
Customize SOX processes, control libraries, testing templates, and dashboards without engineering.
Automate testing schedules, evidence requests, reminders, and escalation workflows.
Generate deficiency summaries, testing narratives, and auditor-ready explanations instantly.
Connect processes → risks → controls → tests → evidence → issues → remediation.
Monitor SOX readiness, test completion, deficiencies, and remediation trends as work happens.
Protect sensitive financial and SOX data with role-based access and audit trails.
Link SOX Scoping, Controls & Evidence for Complete Traceability
SmartSuite’s relational data model links SOX entities, processes, risks, controls, testing activities, evidence, and deficiencies into a single source of truth. Teams always have full context — from financial statement assertions down to supporting documentation.
Streamline SOX Testing & Reviews
SmartSuite simplifies SOX execution with testing workflows, automated assignments, and collaborative reviews. Control owners, testers, and reviewers work in one system — eliminating spreadsheets, email chains, and version confusion.
Maintain Continuous SOX Readiness with Dashboards
Real-time dashboards give SOX leaders visibility into testing progress, control effectiveness, deficiency status, and remediation timelines — enabling proactive management instead of last-minute fire drills.
AI Assistant and Governance Strengthen SOX Confidence
The AI Assistant accelerates documentation, deficiency analysis, and reporting, while SmartSuite’s governance features — role-based permissions, version history, and audit logs — ensure accuracy, accountability, and audit-ready SOX execution year-round.
The SmartSuite Platform:
Powered by Eight Interconnected Frameworks
The SmartSuite Platform consists of eight interconnected frameworks that provide a foundation for designing, automating, analyzing, and governing connected workflows.
Platform
Security and Governance, Built for Enterprise Scale
SmartSuite provides fine-grained, role-based permissions that protect data without slowing innovation. Define access down to the record, field, or workflow level, enforce compliance with SSO, 2FA, and IP restrictions, and maintain a complete audit trail of every action. With SmartSuite, governance and agility work together — innovation moves fast, and your security moves with it.
Work Anytime, Anywhere, on Any Device
Stay connected and productive wherever you are. SmartSuite works across web, tablet, and mobile, so your team can manage projects, collaborate, and automate workflows in real time — whether in the office, remote, or on the go.
The Platform That Connects SOX, Finance, IT, and Audit
SmartSuite brings controls, testing, evidence, and deficiencies together in one secure system. Link SOX controls to risks, financial assertions, ITGCs, and remediation actions for complete traceability and stronger governance.
Role-Based Capabilities for SOX Management
SmartSuite empowers finance leaders, SOX program owners, control owners, and auditors with workflows that ensure disciplined execution, continuous readiness, and confident SOX compliance across the organization.
Chief Audit Executive
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.
How they use the Internal Audit Management suite
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.
Chief Financial Officer
Oversees financial strategy, performance, and risk across the organization.
- Benefit Statement:
SmartSuite gives CFOs unified financial visibility across budgets, spend, forecasts, and approvals — enabling faster, more confident decisions.
- Benefit Source:
Dashboards, analytics, linked workflows, and audit-ready reporting.
How they use the Finance Operations suite
Financial oversight
Reviews real-time views of budgets, spend, forecasts, and financial risks across the business.
Budget alignment
Ensures financial plans align with strategic initiatives, departmental needs, and operational priorities.
Reporting
Produces executive and board-level summaries with consistent, up-to-date financial data.
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.
How they use the Third Party Risk Management suite
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.
Control Owner / Process Owner
Maintains ownership over controls, ensuring they are designed and operating effectively within their assigned processes.
- Benefit Statement:
Collects control evidence, testing results, and sign-offs for quarterly attestations in one workspace through automated workflows.
- Benefit Source:
KPMG, The Future of SOX: A point of view for 2030 and beyond (2026), excerpting The 2025 SOX Survey: average testing hours per control rose from 12 hours in FY 2022 to 16 hours in FY 2024. Read the source
How they use the SOX Management suite
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.
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.
How they use the SOX Management suite
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.
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.
How they use the SOX Management suite
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.
How they use the SOX Management suite
Test validation
Reviews control execution and supporting evidence.
Issue identification
Documents deficiencies and severity assessments.
Assurance reporting
Produces audit-ready summaries and findings.
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.
How they use the SOX Management suite
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.
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.
How they use the Compliance Management suite
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.
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.
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.
Built for Every Role in SOX Management
Whether you’re a Controller, SOX Program Manager, Control Owner, or External Auditor, SmartSuite provides the clarity, accountability, and automation needed to execute SOX with confidence.
Flexible Pricing Designed for Every Organization
Whether you’re a growing team or a global enterprise, SmartSuite’s pricing adapts to how your business works.
Choose platform-wide access with user-based pricing or tailor licenses to your organization’s scale and structure with the Signature plan (per-solution pricing).
User-Based Pricing: Simplify Access Across Every Team
Our Team, Professional, and Enterprise plans make it easy to scale access across your organization. Each licensed user
can access all SmartSuite solutions — with predictable pricing that grows as you do.
- One per-user license for all SmartSuite solutions.
- Ideal for organizations connecting workflows across departments.
- Scalable across teams and business functions.
- Available in Team, Professional, and Enterprise plan tiers.
unified access.
- SmartSuite AI
- Min 3 Billable Users
- Unlimited Solutions
- 5,000 Records per Solution
- 50GB of File Storage
- 30 Days Recycle Bin
- SmartSuite AI
- Min 5 Billable Users
- Unlimited Solutions
- 100,000 Records per Solution
- 100GB of File Storage
- 45 Days Recycle Bin
- Folders
- Gmail and Outlook Integrations
- Advanced Permissions
- SmartSuite AI
- Min 10 Billable Users
- Unlimited Solutions
- 400,000 Records per Solution
- 500GB of File Storage
- 60 Days Recycle Bin
- SSO
- SCIM User Provisioning
- SCIM-Synced User Groups
- Audit Logs
- IP Address Restrictions
- Data Loss Prevention (DLP)
- European Data Residency
- Premium Support
Signature Plan: Per-Solution Pricing for Enterprise Scale
For global organizations and regulated industries requiring complex governance or large-scale rollouts, SmartSuite offers the Signature plan (per-solution pricing). This plan allows enterprises to license specific SmartSuite Solutions — such as GRC, ITSM, or Procurement — for tens of thousands of users, tailored to their exact needs.
- Tailored Licensing — Structure licenses by department, region, or regulatory requirement.
- Purpose-Built for Scale — Designed for enterprises managing thousands of users.
- Customizable Agreements — Includes the ability to tailor terms and access levels to meet unique business needs.
- Enterprise Confidence — Built for large financial institutions, insurers, and global enterprises who require high-performance
and governance.
- Audit Management
- Issues Management
- Operational Resilience
- Business Impact Analysis (BIA)
- Incident Management
- Crisis Management
- Enterprise Risk Management
- Third-Party Risk
- Vendor Portal
- Cyber Threat Management
- RCSA (Risk & Control Self-Assessment)
- Issues Management
- Business Structure
- Contract Management
- Policy Management
- Regulatory Change Management
- SOC 2 Compliance
- CRI Profile Compliance
- Control Framework & Regulatory Libraries
- Compliance Assessments & Testing
- ESG & Sustainability Management
Compare Our Pricing Models
Frequently Asked Questions
Answers to common questions about SmartSuite’s pricing models, plan options, and onboarding programs.
SmartSuite has three per-seat plans and one per-solution plan. Team ($15 per seat per month billed annually, minimum 3 users) and Professional ($32 per seat per month billed annually, minimum 5) are self-serve. Enterprise is custom priced and adds SSO, SCIM, audit logs, data residency and a Customer Success Manager. Signature licenses specific solutions, such as GRC or ITSM, for large user populations and is priced per solution.
Signature is priced per solution rather than per user, so an organization can roll a solution out to hundreds or thousands of people without per-seat cost. It pairs the Enterprise platform with governance and support arrangements agreed for your deployment. Terms, minimums and support levels are set in your contract.
Yes, by plan. Team includes 5,000 records per Solution, 50 GB of attachment storage per Solution and 25,000 automation runs and API calls per month. Professional includes 100,000 records, 100 GB and 100,000 runs and calls. Enterprise includes 400,000 records, 500 GB and 500,000 runs and calls. Solutions are unlimited on every plan, and reaching a limit never stops your Solutions from working.
Every plan includes the Help Center, real-time chat, onboarding guides, daily office hours, live monthly training and certifications, bi-weekly getting-started workshops, SmartSuite Academy and the user community. Enterprise adds a named Customer Success Manager and Professional Services, and Premium Support is available as an Enterprise add-on.
Yes. Enterprise is custom priced, with payment by invoice available for plans that meet a minimum fee, and Signature prices a whole solution rather than each user. Both are shaped around your user population, security review and support requirements.
Contact sales or schedule a demo. A member of the team will walk through your requirements and put together an Enterprise or Signature proposal.
Flexible Pricing for Scalable SOX Programs
SmartSuite offers both per-user and solution-based pricing to support SOX programs of any size — from emerging public companies to complex, multi-entity enterprises.
Featured Resources
Explore through leadership, case studies, and insights from financial services leaders.
See SOX Management in Action
Watch how SmartSuite simplifies SOX compliance by connecting controls, testing, evidence, and remediation in one unified platform.
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SmartSuite Resources
Everything you need to learn, build, connect, and grow with SmartSuite — from expert guidance and self-paced learning to community collaboration and continuous innovation.
Resources to Strengthen Your SOX Program
Explore guides, webinars, and customer stories that show how teams modernize SOX management, reduce audit friction, and maintain continuous compliance with SmartSuite.