Case Study One: SOX Program Leadership - Large Accelerated Filer

Details

A rapidly growing pharmaceutical Large Accelerated Filer faced increasing compliance demands due to expansion through new products, customers, and acquisitions, requiring enhanced SOX internal control leadership and expertise. 

Engaged to lead SOX program enhancements, including conversion to the 2013 COSO framework and alignment with accelerated SEC reporting requirements, while strengthening internal control and compliance processes.

• Led successful transition to the 2013 COSO framework for SOX compliance
• Enhanced risk assessment processes and entity-level controls with improved documentation
• Implemented IT controls framework, including new policies and procedures
• Improved controls monitoring and overall internal control effectiveness
• Streamlined compliance efforts, improving cost management and efficiency
• Delivered clear, consistent reporting to executive management for Audit Committee reporting
• Extended SOX and internal control improvements to newly acquired subsidiaries