Financial & Technology Sarbanes-Oxley (SOX)

We implement and transform SOX compliance programs that are sustainable and exceed your stakeholder's expectations. Our risk based approach will help address your constantly changing risk environment and mold your SOX programs in a way that reduces total cost of compliance along with resulting in an audit ready posture all the time.

Our experienced SOX team documents key business processes, supports narratives, flowcharts and risk matrices that are critical to your success. Then we design and perform focused controls testing in line with PCAOB guidance.

SOX Solutions

Not sure what you need? We can show you the best path to SOX success.

    • Combine flows and narratives into digestible controls documentation to facilitate external audit walkthroughs and identify gaps so potential surprises are avoided.

    • Access to over 500 controls across both financial and technological processes.

    • Remediate significant deficiencies and material weaknesses with the ability to fix controls, policies, procedures, and business processes.

    • For clients who do not have a GRC platform or want to migrate to a new program, Vertex11 can provide several options.

SOX Case Studies & Resources

  • SOX case study blog

    Implementing Sarbanes-Oxley (SOX) Compliance Within 90 Days.

  • Outstanding deficiencies

    Quickly catching a firm up on outstanding deficiencies after they had fallen significantly behind.

  • Saa S Case study

    Alleviating a firm’s “Pain in the SaaS” to overcome a Risk Management crisis copy.

  • Not a lock 2

    Security Is Not A Fence, A Cage, Or A Lock. Let’S Stop Thinking Of It This Way.

What Do Our Clients Have To Say?

“Vertex11 provides the smart thinking and thought leadership that every company should leverage in the world of cybersecurity.”

Head of Security GRC, Top Ten Bank

“18 minutes with Vertex11 saved me 2 hours of banging my head against the wall.”

Head of IT Risk Management, Financial Services Firm

“Vertex11 is helping us transition from start-up to eventual IPO by guiding us through the regulation and audit processes. They make it easy.”

VP of IT Ops, Energy Company

“Vertex11 is one of the best consulting shops in the security business, particularly in the regulated world.”

Risk Management Executive, Large Investment Bank

“Vertex11 didn’t just solve my challenge. They helped me think ahead and also avoid future issues. Choosing them was a great business decision. They’re now my go-to team.”

CISO, Financial Services Firm

“Direct access to security and GRC expertise really sets Vertex11 apart. You just don’t get this type of collaborative relationship with the big four companies.”

Business Continuity Manager, Telecom Company

“Given the early stage of our company, we didn’t have a very structured controls environment. Vertex11 helped us shore up our significant deficiencies and material weaknesses. Our board was very happy.”

Chief Accounting Officer, Energy Company

“Vertex11 delivers smart and nimble solutions that set us up for success. It’s no coincidence that a member of our team was promoted as a direct result of the engagement.”

Director of Business Continuity, Telecom Company
Icon of inspector with hat and spectacles

Rest assured, we protect the anonymity of any client that chooses to give a testimonial of their experience with Vertex11.

Vertex11 poses the question: "What if hackers attacked like organizations defended?"

Watch the 3 short videos above to find out.