Risk & Compliance
Specializing in Enterprise Risk Management and Compliance for Financial Institutions.

Sarbanes-Oxley Act (SOX)

Today's strict regulatory compliance environment requires organizations to be accountable for securing their data, systems and process integrity. Failure to comply with these regulations can result in serious legal consequences leading to significant fines, expensive litigation costs, lost customers and revenue. Z &A’s solution ensures that achieving compliance does not have to be a complex and costly endeavor.

Organizations that adopt a process-driven approach to compliance are improving efficiencies and discovering benefits that outweigh risk and compliance cost. Sox - 404 also requires the company's auditors to attest to, and report on, management's assessment of the effectiveness of the company's internal control over financial reporting.

Z & A can help organizations achieve SOX compliance in the following ways
  • Assess both the design and operating effectiveness of selected internal controls
  • Evaluate controls at various level within the organization.
  • Perform a fraud risk assessment & evaluate controls designed to prevent or detect fraud.
  • Evaluate controls over the period ending financial reporting process.
  • Scale the assessment based on the size and complexity of the company.
  • Evaluate controls over the safeguarding of assets.
  • Prepare recommendations and a plan of action for senior management.

Our solutions instill client confidence in operational and financial integrity by maintaining accurate and timely information that enhances visibility, risk measurement and mitigation procedure.

Z & A’s ZInsight and RDCS is our proprietary solution for compliance with Sox requirements.