Interim SOX Compliance Services

SOX compliance services support organizations in establishing, executing, and maintaining the internal controls required under the Sarbanes-Oxley Act—most notably Section 404. For many companies, the challenge isn’t knowing what to do, but having the internal bandwidth and experience to do it consistently.

CX provides interim SOX support that fills gaps on internal audit and compliance teams during peak periods, high-growth phases, or organizational change. Our professionals assist with documenting processes and controls, performing control testing, supporting walkthroughs, gathering audit evidence, identifying potential deficiencies, and helping teams stay ahead of deadlines.

Rather than replacing your internal audit function, CX integrates directly with your team to keep the SOX program moving—maintaining continuity, reducing bottlenecks, and ensuring your reporting and compliance requirements stay on track.

SOX compliance primarily affects publicly traded companies listed on U.S. stock exchanges, including foreign private issuers. While privately held companies are not directly subject to SOX, many choose to adopt SOX principles as a best practice to strengthen internal controls, improve financial transparency, and prepare for potential future IPOs. Furthermore, subsidiaries of public companies are often required to comply with SOX regulations. Compliance is crucial for maintaining the integrity of financial reporting, fostering investor confidence, and avoiding potential legal and financial penalties.

Companies face a wide range of obstacles when maintaining a SOX-compliant control environment. Some of the most common include:

• Limited internal resources: Many teams simply don’t have enough SOX-experienced staff to manage documentation, testing, and remediation—especially during year-end and Q1.
  
  
• High growth outpacing controls: Fast-scaling companies often outgrow their original processes, leaving gaps in ownership, documentation, and evidence retention.
  
  
• Turnover or team restructuring: Employee departures or changes in leadership can disrupt continuity and slow testing cycles.
  
  
• Mergers & acquisitions: Newly acquired entities may not have been subject to SOX previously, requiring integration into the parent company's control framework—often under tight timelines.
  
  
• Unclear control ownership: As organizations expand, determining who owns which controls becomes more complex.
  
  
• Outdated or incomplete documentation: Teams struggle to keep narratives, flowcharts, and RCMs current as systems and processes evolve.
  
  
• Testing delays: Competing priorities across accounting, FP&A, and IT often push SOX tasks to the back burner, increasing the risk of deficiencies or late auditor deliverables.
  
  

CX helps companies overcome these challenges by deploying experienced interim SOX professionals who can quickly step in, increase capacity, clarify ownership, update documentation, assist with testing, and support integration efforts during times of change.

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Yes. Interim SOX professionals play a critical role in helping organizations navigate and complete remediation efforts—especially when internal teams are stretched thin.

CX’s SOX specialists can support remediation by:

• Identifying root causes behind control failures or design gaps.
  
  
• Redesigning or strengthening controls to align with auditor expectations and best practices.
  
  
• Updating narratives, flowcharts, and RCMs to reflect the revised control environment.
  
  
• Coordinating with process owners to implement new procedures and clarify responsibilities.
  
  
• Preparing documentation and evidence to demonstrate remediation to internal and external auditors.
  
  
• Tracking progress across multiple control owners and reporting on status to leadership.
  
  

Because remediation often requires both technical knowledge and hands-on execution, interim SOX staff provide the additional capacity and expertise needed to move issues to closure quickly—without disrupting daily operations.