Navigating SOX 404(a): How to Balance Risk, Budget, and Operational Goals

Presented on:
May 8, 2018 10:00 AM PT
1 hour

Compliance with the Sarbanes-Oxley Act (SOX) Section 404(a) is critical for companies transitioning to public ownership or those that have recently made this transition.

Regardless of where your company is in addressing SOX compliance, how you develop and manage internal controls can have a significant impact on your organization’s success.

During this webcast, we share the SOX 404(a) compliance approach designed around specific risk tolerance, operational objectives, and budget considerations that’s been successfully used by hundreds of IPO and emerging growth companies.



Joan Taylor, Senior Manager, Moss Adams

Joan has provided internal control services since 2004. She provides risk management and compliance services to clients in many industries and specializes in manufacturing, technology, and retail. Her key focus is on process improvement work and managing audits under the requirements of Sarbanes-Oxley (SOX) section 404. Joan uses risk assessments to scale and evaluate client risks before reviewing key processes within these work streams to identify control objectives and control activities. She assists her clients with creating, conducting, and reviewing testing results and documentation, and recommending solutions to remediate gaps and efficiency opportunities. Prior to joining Moss Adams, Joan provided internal audit services at a Big Four firm.

Brendan Ross, Manager, Moss Adams

As a certified internal auditor, Brendan specializes in SOX implementations, internal audits, process analysis and redesign, fraud prevention and detection, and enterprise risk management. Brendan focuses on improving an organization’s accounting controls, financial reporting practices, operating effectiveness and efficiency, in addition to regulatory compliance and security. Brendan has provided public and private accounting and consulting services to his clients since 2011.

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