Sarbanes-Oxley Advisory Services

Dopkins will help your company achieve successful SOX compliance

Our Sarbanes-Oxley advisors can assist a company to establish and maintain compliance with the Section 404 of Sarbanes-Oxley Act of 2002 (SOX) in an efficient and effective manner.  With proven experience in helping companies comply with SOX since the law was enacted, our trusted advisors can provide the following SOX assistance:

Initial SOX Compliance Assistance

For companies going through the first year of complying with SOX, our advisors will guide management through a top-down process of risk assessment/scoping, establishing documentation, mapping to the COSO principles, performing testing, designing controls to remediate deficiencies.

Streamlining Management’s SOX Assessment

We will take a fresh look at your SOX assessment process to implement strategies to reduce the cost of compliance without losing the quality of your assessment.  Our advisors will evaluate your risk assessment and scoping to ensure a top-down process is utilized to its fullest extent and that the documentation is done.  We can also explore where datamining and analysis can be used to reduce costs.

Control Deficiency Remediation Assistance

If you have a material weakness or other control deficiencies, we can assist you in designing controls and training staff to remediate the deficiency.  Our advisors are always mindful to strike a balance between cost and benefit of control remediation.  We will find a solution that will mitigate the risks while being mindful of minimizing cost.

SOX assessment Co-sourcing

Turnover, business acquisition, or other change to the business may cause management may find that they may not have the necessary resources or expertise to perform their SOX assessment.  We can find a solution to fit your need.  Our involvement can range from providing an entire SOX team to develop, manage and execute the project under management’s oversight, to providing additional resources to assist management in performing specific tasks for the SOX assessment.

National and Global Reach

Dopkins is an independently owned member of the RSM US Alliance. Membership provides our firm with access to national resources to assist you in meeting your organization’s SOX assessment needs.

We can also serve your global compliance needs through RSM International, a network of member firms with offices in 80 countries.

Audit Software Solutions

If you are looking for a software solution to manage your SOX assessment and other internal audit needs, RSM’s Auditor Assistant is a completely integrated internal audit management software helps you conduct, review and manage your audit activity more efficiently.

Implement a Plan That Works for You

We understand that every company is different.  We have the depth of experience to develop a solution that fits your needs while maintaining a cost/benefit balance. We will work with you and your external auditor to ensure successful compliance with SOX.


For more information, contact Jay W. McWatters CPA at