SOX Compliance Product

SOX programs are still run on top of spreadsheets, shared drives, and email-based certifications at far too many public companies. SmartSuite's SOX Compliance solution centralizes the full Sarbanes-Oxley lifecycle, from control scoping through SOX 404 testing and SOX 302 certifications, in a connected platform built for audit readiness.
‍

Key highlights

• End-to-End SOX Lifecycle Management: Run scoping, mapping, testing, certification, and remediation in a single system of record.
• SOX 404 Control Assessments: Document and evaluate internal controls over financial reporting, including both design and operating effectiveness testing.
• Automated Control Testing Workflows: Generate and track design and operating tests for consistency, completeness, and audit-ready documentation across cycles.
• SOX 302 Certification Workflows: Drive process owner and executive certifications so management can attest to control effectiveness on schedule.
• Connected Financial Systems View: Link controls to the processes, applications, and IT assets that support financial reporting.
• Dashboards and Reporting: Give leadership and auditors real-time visibility into testing progress, control effectiveness, certification status, and compliance gaps.
  ‍

How it works

• Financial reporting processes and control activities are captured and linked to applications, IT assets, and supporting systems to define SOX scope.
• Organizations conduct SOX 404 assessments through structured testing workflows that evaluate control design and operating effectiveness with full evidence capture.
• Automated workflows generate design and operating tests, document results, and trigger remediation actions when deficiencies are identified.
• Process owners and executives complete SOX 302 certifications, attesting to the effectiveness of financial reporting controls each cycle.
• Dashboards provide a continuous, real-time view of testing progress, control effectiveness, certification status, and audit readiness.
• Optional AI features can summarize testing results, surface control effectiveness trends, and recommend remediation, with human review retained throughout.
  ‍

SOX program owners get a single, defensible system of record for every control, test, and certification, with the audit trail external auditors expect and the visibility leadership needs to sign with confidence.