SOX – Mapping Accounts-Risk- Assertions – Controls

About This Resource
Hello - I would like to understand how other companies map accounts-risk-assertions to controls. When I look at the Financial Statements I would like to see which accounts have the SOX key controls and which assertions are covered? If our SOX management is completely manual (i.e. no SOX or Compliance systems), and excel based, what format would work? I am looking for some information outside of the RACM (Risk and Control Matrix) and Process Flows.
Type of Resource
Resource Files

Login or create free account to download resource files.

Ready to Get Involved?

Why should everyone reinvent the wheel? Let’s share our internal audit resources so we can all add more value to our organizations.


To share one of your resources with the community, please email it to info at auditopia dot com and we’ll make it freely available to everyone.


We know confidentiality is important. Please do not share any sensitive content, let’s focus on methodology only.

Shared By: Anonymous
Date: March 6, 2021
Share this resource
Share on linkedin
Share on twitter
Share on facebook
Report this resource

Reported resources will be reviewed by us. Report this resource to let us know if this resource violates Auditopia's Terms of Use.


Report This Resource
[contact-form-7 id="736" title="Contact form 1"]
Create Free Account
[ultimatemember form_id="117"]

Contact Us