Sarbanes-Oxley Consulting Services

Based on more than a decade of Sarbanes-Oxley (SOX) compliance experience, with both internal readiness and external audit clients, George R. Baxendale, CPA is able to supplement existing internal teams, as well as provide fully outsourced support. From leading compliance efforts to educating management, George R. Baxendale, CPA has successfully managed all aspects of SOX consulting across a broad range of industries. We implement a system of governance, risk management and compliance that takes our client’s business strategies into account, while aligning our activities with each client’s primary objectives. We embrace the guidance issued by the SEC for all our management attestations.  This allows us to effectively address management’s goals, while ensuring your external auditor can maximize reliance on our work papers that conform with PCAOB auditing standards. Whether your company is preparing for an IPO, is a non-accelerated or an existing accelerated filer, we bring the comprehensive SOX experience gained by working at large regional firms, while delivering personal attention and efficiency. Specific services include:


  • Multi-location scoping and related memos
  • Financial statement and/or fraud risk assessments
  • Development of process documentation (narratives, control matrices and key controls)
  • Review of design effectiveness, business process improvement and gap analysis
  • Controls rationalization and optimization to ensure only those controls that sufficiently address the risk of misstatement for each relevant assertion are used
  • Process walkthroughs for management or external auditor reliance
  • Evaluation of key controls, control testing and operating effectiveness
  • Root-cause analysis of testing exceptions and collaboration with management on control remediation efforts
  • Assessment of year-end deficiencies
  • Quarterly and annual reporting/presentations to the Audit Committee