Sarbanes-Oxley Compliance Audit Checklist
Complete this checklist to assess and document compliance with key Sarbanes-Oxley (SOX) controls within your organization.
Audit Title
*
Department / Business Unit
*
Audit Period
*
Date of Audit
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Lead Auditor Name
*
First Name
Last Name
Audit Team Members
SOX Control Assessment
*
Rows
Compliant
Partially Compliant
Non-Compliant
Financial Reporting Controls Documented
1
2
3
Access to Financial Data Restricted
4
5
6
Change Management Procedures in Place
7
8
9
Segregation of Duties Maintained
10
11
12
Regular Internal Controls Testing
13
14
15
Exception Reporting and Follow-up
16
17
18
Audit Trail Maintained for Key Transactions
19
20
21
Comments on Key Controls
Overall SOX Compliance Rating
*
1
2
3
4
5
Additional Findings or Recommendations
Submit Audit Checklist
Should be Empty: