Internal Controls & SOX Compliance

Manual processes, scattered evidence, and inconsistent testing slow down audit readiness and increase risk.

SAI360’s Internal Controls module, as part of the SAI360 GRC Platform, automates documentation, testing, and sign-offs—so you’re always ready for audit and SOX compliance, with fewer surprises and stronger assurance.

Internal controls software
Internal Audit Dashboard

Streamline SOX Compliance

Simplify testing, documentation, and certifications to meet SOX requirements without burning resources.

  • Automate 404 and 302 certification processes, including digital sign-offs for SEC filing
  • Track control effectiveness across business units with pre-configured workflows and alerts
  • Align with COSO to build a strong, defensible internal control framework

Automate Control Testing

Save time and reduce human error with smart scoping, automated scheduling, and continuous monitoring.

  • Auto-schedule control assessments with evidence, samples, and issues all in one screen
  • Use continuous controls monitoring to detect exceptions from ERP and external systems
  • Apply smart scoping logic to reduce audit fatigue and test only what’s truly in-scope
Demonstrate SOX Compliance
Internal Control System and Risk Management

Gain Real-Time Visibility

Get ahead of audit deadlines with consolidated dashboards and data-rich reporting tools.

  • Monitor certification status, control test results, and risk trends in a single interface
  • Customize dashboards by role to support business users, auditors, and leadership
  • Drill down into gaps and action plans with heat maps, charts, and audit-ready exports
Tired of audit prep consuming your team?
See how SAI360 reduces manual effort and increases control assurance.

Explore The Capabilities

Automate control scoping based on risk and business changes. Reduce testing fatigue by focusing only on what’s relevant.

Schedule control tests using predefined cadences and centralized workflows. Give testers everything they need—evidence, samples, and related issues—in one view.

Use real-time data to automate testing and detect exceptions from ERP or external systems. Template rules are available for SAP, Oracle, and Lawson.

Digitally manage SOX 302 and 404 certifications with built-in signoff workflows. Ensure completeness and accuracy ahead of SEC filing deadlines.

Assign action plans and track resolution through automated workflows with reminders, escalations, and signoffs. Keep remediation moving and audits clean.

Visualize control health, test status, and audit trails in real time. Customize dashboards by role and drill into details for fast action.

Also on the SAI360 GRC Platform

Identify, assess and monitor external and internal risks from across the enterprise.

  • Enable continuous risk strategies
  • Combine strategic and operational risks in one place
  • Enables top-down and bottom-up assessments
  • Supports real-time reporting with dynamic scoring and ownership tracking
Enterprise Risk

Stay ahead of evolving regulations by integrating regulatory change data to maintain compliance.

  • Continuously monitor, assess, and implement regulatory changes with real-time updates
  • Map new regulatory requirements to enterprise risks, policies, and controls for seamless alignment
  • Automate workflows to ensure timely implementation and maintain an audit trail
  • Gain visibility into compliance gaps and track progress with intuitive dashboards and reporting
Regulatory Compliance

Reinforce risk mitigation with tested, auditable, and accountable controls.

  • Automates testing, evidence collection, and review schedules
  • Maps control effectiveness directly to enterprise risks and findings
  • Ensures audit-readiness and SOX compliance with less manual effort
Internal Controls

Train employees with relevant, policy-aligned content that actually sticks.

  • Assign learning by role, location, or risk exposure
  • Embed disclosures within a training course
  • Deliver interactive content tied to your policies and values
  • Monitor training completion and identify gaps with real-time reporting
Ethics & Compliance Training

“With the help of SAI360, we have been able to implement SOX compliance in less than four months and have also successfully implemented the risk management and a control framework.”

-Marleen Lemmens, Robeco​

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FAQs

Internal controls management involves designing, testing, and monitoring controls that ensure accurate financial reporting and regulatory compliance. It helps reduce risk, prevent fraud, and demonstrate operational discipline.

SAI360 automates the end-to-end SOX compliance process, including 404 and 302 certifications, testing workflows, documentation, and signoffs—reducing manual effort while improving accuracy and audit readiness.

Yes. Control assessments can be auto-scheduled based on risk level, frequency, or organizational rules. The system centralizes evidence collection, tracks exceptions, and maintains an audit trail for every test performed.

Continuous controls monitoring (CCM) uses real-time data from ERP or other systems to automatically detect control failures, exceptions, or anomalies. SAI360 supports CCM with templates for platforms like SAP, Oracle, and Lawson.

SAI360 digitizes SOX 302 and 404 certifications, automating workflows for signoffs, evidence review, and status tracking. This reduces bottlenecks during quarterly and annual reporting cycles.

Yes. The platform is built to support COSO-based frameworks, ensuring your control structure meets regulatory expectations and internal audit standards.

Smart scoping uses configurable logic to identify which controls are in scope for testing or review. This reduces audit fatigue by focusing effort only on high-risk or material controls.

Yes. When control issues are identified, SAI360 initiates remediation workflows that track ownership, due dates, and resolution—ensuring timely follow-through and documentation.

Exceptions flagged during testing or monitoring can be escalated, linked to action plans, and tracked until closure. The system logs every step for audit and compliance reporting.

Yes. Users can upload, tag, and link supporting documentation directly to control tests. You can also automate evidence gathering from ERP systems, reducing manual back-and-forth.

SAI360 offers dashboards, heatmaps, and audit-ready exports that consolidate test results, certification statuses, control gaps, and remediation progress. Reports can be customized for auditors, leadership, and compliance teams.

Pricing depends on organization size, complexity, and module selection. Contact us for a tailored quote.