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.
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.
Readiness Assessment
Gap Analysis
Define the in-scope processes and systems. Identify gaps and a remediation roadmap.
Compliance Readiness
- 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.
Certification Support
Audit Support
- Negotiate the scope with external auditors.
- Project manage the audit to ensure the timely issuance of the audit reports.
- 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.
Control Deficiency Remediation
End-to-End Remediation Management
Ensure timely, effective resolution of significant deficiencies or material weaknesses with a structured, transparent project plan that aligns with SEC and auditor expectations.
Stakeholder & Board Communication
Provide clear, consistent updates to boards, auditors, and investors, reinforcing leadership’s control over risk and remediation outcomes.
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.
