Connected Risk, SOX, and Controls

Regulatory expectations are rising-and public companies, or those preparing to go public, face intense scrutiny. Emerytus Advisors' Connected Risk, SOX, and Controls team helps management strengthen control documentation, remediation and reporting readiness within an agreed scope.

We support SEC registrants, SOX filers, and IPO-bound companies in developing right-sized, scalable compliance programs. From SOX readiness assessments to control testing and external auditor coordination, we offer the rigor of former Big Four and industry professionals with the agility of a business partner. We support management’s documentation, testing and remediation priorities within an agreed scope. Our work does not provide a compliance certification, an external audit opinion or guaranteed auditor acceptance.

With Emerytus, compliance becomes a catalyst for clarity, not a burden.

"Laws control the lesser man ... Right conduct controls the greater one." - Mark Twain

Common challenges

  • SOX 404(a) and 404(b) compliance programs
  • IPO and SPAC-readiness assessments
  • SEC and PCAOB expectations alignment
  • Control testing strategy and execution
  • COSO framework implementation
  • Auditor support and issue resolution

Ways we can help

  • SOX compliance roadmaps and program charters
  • Risk and control matrices (RCMs)
  • Testing workpapers and audit support files
  • Remediation and readiness plans
  • Documentation aligned to regulatory expectations
  • Management reporting and control certification packages