Compliance Program Assessment
Compliance Program Assessment is for companies that suspect their program is either too thin to satisfy regulators or too bloated to be practical. I examine your policies, controls, reporting lines, and documentation with particular focus on SOX and ISO expectations.
On the SOX side, I review control design, ownership, and evidence, then highlight where gaps, overlaps, or unclear responsibilities could trip up your next audit or certification. For ISO, I assess how your documented processes match what actually happens on the ground, identifying where you can simplify while staying compliant.
You receive a clear, prioritized action plan, not a stack of theory: what to retire, what to rewrite, and what to tighten before auditors or regulators raise the same points. Engagements are handled virtually to support US and UK teams efficiently, whether you are listed, pre‑IPO, or privately held in Sonoma, California.
On the SOX side, I review control design, ownership, and evidence, then highlight where gaps, overlaps, or unclear responsibilities could trip up your next audit or certification. For ISO, I assess how your documented processes match what actually happens on the ground, identifying where you can simplify while staying compliant.
You receive a clear, prioritized action plan, not a stack of theory: what to retire, what to rewrite, and what to tighten before auditors or regulators raise the same points. Engagements are handled virtually to support US and UK teams efficiently, whether you are listed, pre‑IPO, or privately held in Sonoma, California.
Get Expert Assistance
Share a few details about your board or compliance questions, and I will respond promptly with clear next steps, virtual meeting options, and proposed scope, usually within one business day.