SOX and internal controls programmes that auditors can defend.
Design, documentation and operating effectiveness testing for SEC-style internal controls programmes, UK-listed governance expectations, and PCAOB-aligned readiness where US reporting touches the UK.
Controls work is boring until it saves you from restatements.
We help management and audit committees establish defensible controls over financial reporting: risk assessment, entity-level controls, IT general controls and key-business process controls mapped to assertions. Engagements span first-year readiness, annual roll-forward, remediation after deficiencies, and carve-out IPO programmes.
Before work begins, we clarify the operating context, governance expectations, and commercial pressures behind the brief. That gives the engagement a clear purpose before technical analysis starts.
The result is a more complete advisory view: what matters now, where risk may surface next, and how recommendations can be implemented without creating unnecessary hand-offs or ambiguity.
Scope
Clarify the decision, deadline, stakeholders, and evidence standard before work begins.
Delivery
Combine partner judgement, technical review, and practical implementation planning in one workstream.
Follow-through
Convert findings into owners, actions, and next steps that leadership can track after the session.
Four stages from baseline to attestable readiness.
Scoping & materiality
We align scope to reporting materiality, significant accounts and relevant assertions before control design work begins.
Documentation
Process narratives, flowcharts, risk-control matrices and evidence of design operating as intended.
Testing
Walkthroughs, sample-based operating effectiveness and ITGC coverage matched to your filing calendar.
Reporting
Deficiency assessment, remediation plans and board packs written for audit committee consumption.
UK groups with US reporting touchpoints, listings, or PE exit readiness.
Typical clients include UK subsidiaries of US parents, companies preparing for US listing, and UK-listed businesses strengthening governance ahead of strategic transactions. We coordinate with external audit and internal audit so testing is not duplicated.
- SOX / US internal control readiness
- ICFR documentation and annual refresh
- Deficiency remediation programmes
- Carve-out and IPO control builds
About SOX and internal controls.
Both. We can lead documentation and management testing, support internal audit, or design a programme your team operates with our quality review.
Controls programme under pressure?
A two-week gap review will show where documentation, evidence or ITGC coverage will fail review.