Case Study #1 | Internal Controls and Certifications
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.
The Stakes: Pain points of rapid growth
- High costs from outsourcing SOX work to consultants who didn’t transfer knowledge or build internal capabilities.
- Siloed Finance and Technology SOX programs resulting in misalignment, inefficiencies, and missed opportunities for control rationalization.
- Manual, uncoordinated processes made it hard to fix issues quickly, track risks, or stay ahead of change.
To solve this, the company turned to AdviseUp to help build a stronger, more scalable SOX program.
How we helped: Building a scalable, integrated SOX program
Working side-by-side with DocGo’s internal teams, we built a modern SOX framework that could grow with the business:
- Centralized program management to align training, timelines, scoping, and issue resolution across the company.
- Refined the control scope to reduce complexity and give clearer visibility into key risks and responsibilities.
- Set up a centralized Governance Risk and Compliance (GRC) platform so teams could manage risks, controls, testing, and issues in one place.
- Trained internal staff to take ownership of controls, reducing long-term reliance on outside consultants.
- Helped redesign key IT and business processes to strengthen compliance and reduce risk.
- Worked with current technology limits, designing controls around existing systems, so the company didn’t need to buy or integrate new tools.
These changes made SOX compliance faster, simpler, and more cost-effective, positioning the company for continued growth.
The outcome: Cost savings, accountability, and audit readiness
- 65% reduction in SOX outsourcing costs by streamlining scope, consolidating efforts, and enabling internal teams.
- Created a “single source of truth” for all risks, controls, and issues, which improved transparency and reduced duplication.
- Expanded internal monitoring to also support several standards (SOC 2 and ISO 27001), increasing readiness across the board.
- Earned a role as a trusted advisor, thanks to a deep understanding of the company’s systems and practical, business-friendly approach.
What began as a cost-saving initiative evolved into a trusted partnership that strengthened compliance and business confidence.
