Core Service
Internal Controls and Certifications
Our hands-on experience building and maintaining compliance programs across several industries enables organizations to obtain accreditation in record time, build trust, and increase sales.
CASE STUDY #1
Why Overpay for Sarbanes–Oxley Act (SOX) Compliance?
A rapidly growing mobile healthcare provider based in New York partnered with us to improve its SOX compliance program as part of a broader effort to strengthen internal controls. As the company scaled, it needed to simplify operations, improve how controls were designed, manage scope creep, and reduce its reliance on expensive outside consultants.
65%
Cost Reduction
1
Centralized platform replacing fragmented processes
CASE STUDY #2
Certifying success for an international emerging business.
A renewable energy business with a global presence was looking to grow as it faced intense competition and limited brand recognition. One of their goals was to differentiate themselves in the market and prove their commitment to quality and security by obtaining ISO 9001 certifications. They turned to AdviseUp for our on-the-ground experience, deep technical expertise, and reasonable cost.
6
Months to secure the certification
$4M
Contract secured by the certification
Internal Controls Services
Risk Assessments and Scoping
- Determine materiality thresholds.
- Conduct assessments to identify key processes and accounts.
- Map risks to controls to ensure coverage.
- Perform a gap analysis to identify missing or inadequate controls.
- Identify systems, tools, and third-party platforms in scope.
Design and Operating Effectiveness Testing
- Evaluate control design and operational effectiveness.
- Recommend remediation actions for deficiencies.
- Develop or enhance risk and control matrices (RCMs).
- Support control rationalization to right-size the scope.
- Assist with the documentation of process narratives, flowcharts, and control testing procedures.
- Collaborate with external auditors to build reliance.
Controls Deficiency Remediation
Ensure timely, effective resolution of significant deficiencies or material weaknesses with a structured, transparent project plan that aligns with SEC and auditor expectations.
Training and Education
Develop and offer training and workshops to educate employees at all levels on risk awareness and controls. Training & education help foster a risk-conscious culture within your organization and empower employees to identify and report potential risks proactively.
Certification Services
Gap Analysis
- Define the in-scope processes and systems.
- Identify gaps, custom remediation plans, and a certification roadmap.
Readiness Services
- Develop/customize policies, procedures, and processes.
- Assist with implementing controls.
- Select and negotiate with the external audit firm.
- Perform an internal audit as required by the standards.
- Develop and deliver training to employees.
Audit Support
- Negotiate the scope with external auditors.
- Project manage the audit to ensure the timely issuance of the results.
- Assist with nonconformity remediations.
- Draft the certification customer-facing artifacts.
Ongoing Monitoring
- Establish a plan of audit-related and management activities.
- Manage policy updates and security/compliance training.
- Maintain ongoing review of key controls.
- Proactively address any standard and regulation changes.
Rolled up their sleeves.
The AdviseUp team took time to help our tech governance team with everything from designing new control monitoring processes to finding control improvements.
Dorina showed genuine interest in helping me grow as a professional. She taught me what it means to be a leader and that no matter how high you climb, you’re not above any work.
Howie Magaro, Technical Program Manager
Material Weakness Remediation Playbook
Learn how to navigate key remediation phases to enhance internal controls, improve compliance, and minimize audit risks. Download this playbook now to take proactive steps toward financial integrity and operational excellence.
