Internal Audits of Financial Controls

Our team has significant experience supporting public companies’ Sarbanes-Oxley 404 (SOX) programs as well as various other engagements that assess financially significant controls.We have a formal methodology that ensures we are on the forefront of the profession as it relates to the assessment of internal controls over financial reporting.

Our overall objective of an audit of financially significant controls is to evaluate the design and test the operating effectiveness of the key controls within the control environment of the institution.We take a top-down risk-based approach to identifying an institution’s significant risks for both internal and external financial reporting, assisting management in putting in place the key controls needed to adequately mitigate risks, conducting walkthroughs of critical functions whereby we validate design effectiveness of the controls and conclude if risks will be mitigated to an acceptable level and planning and executing tests of operating effectiveness for those key controls.

case studies

big problem:
A not-for-profit client out of 401(k) compliance.
big thinking:
Allowing more contributions by highly paid employees.
big problem:
Hackers attempting a six-figure wire transfer.
big thinking:
Rapid action spearheaded active containment and response.

our thoughts on

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Financial Institutions - Regs on Regs on Regs
Financial Trustee Service Considerations
Addressing Technology Risks within the Financial Services Industry
Private Companies Rejoice - VIE Rules are Changing for the Better

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contact us

Map of Pittsburgh Office

One PPG Place, Suite 1700
Pittsburgh, PA 15222
p:412.261.3644     f:412.261.4876

Map of Columbus Office

65 East State Street, Suite 2000
Columbus, OH 43215
p:614.621.4060     f:614.621.4062