Sakshi Gupta

Identifying SOX controls. Worked on both the financial and IT controls. Fraud risk assessment. Some financial controls are focused on catching errors; others are specifically targeted at preventing or identifying fraud. Since SOX was passed in response to cases of massive fraud, there’s a special sensibility about looking at controls surrounding fraud.

Conducted and Participated in the control walkthroughs with the clients to understand the controls placed in their system.

Internal Control documentation. We will want to see solid documentation of the procedures, policies, and controls that are in place.

Tested the key controls to make sure they function as designed,

Assess deficiencies. Feedback is given which will help the company to take remedial steps.