Controls management and SOx compliance

Project overview and objectives

This organization came to us with highly manual processes that were hindering the ability to manage (and balance) organizational risk. The challenges they faced included:

  • Controls management and testing processes that couldn’t deliver the right information to end users
  • Communication issues between stakeholders that caused delays in requests
  • Time-consuming control self-assessment and risk assessment processes

What we did

Through future-state design sessions, we outlined how to improve reporting capabilities and get the right information to the right people at the right time using Workiva. This also involved developing a central risk and control matrix (RCM).

From there, we configured Workiva to support a streamlined risk assessment and control self-assessment process, along with evidence requests, control testing, and IPE documentation.


This organization quickly saw a difference in its controls management. Benefits included:

  • Enhanced visibility and control ownership across the organization with the RCM
  • Simplified control testing and evidence sharing processes through workflows linked to the RCM
  • Reduction in manual steps to kick off and monitor control self-assessment and risk assessment processes, driving efficiency and improving user experience
  • Greater insight to control data thanks to interactive reports and dashboards

Are you interested in establishing a connected governance, risk, and compliance solution? Let’s talk.

Project detail


Ready to see how our digital finance consulting services can help?
Let's Talk
Step up your digital reporting with Workiva
Learn More