Surfacing SOX Controls Drift Before the Auditors
Reduced audit prep time by identifying controls drift proactively.
The Challenge
A financial services firm faced recurring SOX audit findings where documented internal controls did not match practiced procedures. Each audit cycle consumed 6 weeks of preparation and remediation effort.
The Approach
H-Synth ingested the firm's documented SOX controls as structured workflows, then modeled the practiced procedures through department walkthroughs. Variant comparison quantified drift per control, and the dependency graph revealed cascading impacts when upstream controls drifted.
The Results
The firm identified 8 controls with significant drift before the external audit, remediated 5 proactively, and reduced audit prep from 6 weeks to under 2 weeks. The living process models now serve as continuous compliance evidence.