Internal Audit and SOX Compliance

Scalable solutions to meet your needs.

We are dedicated to providing “right-sized” Internal Audit and SOX Compliance solutions to pre-IPO and public companies. Backed with 40 years of experience, our focused group has built a solid reputation with clients ranging in size from early-stage start-ups to mid-cap public companies. Our business philosophy is very simple: focus on the success of our clients and the growth and development of our employees.

Our managers have worked inside as VPs, controllers, directors, frontline accountants, and staff for pre-IPO and small to mid-size public companies, giving us insight into the unique challenges our clients face with staffing, resources, compliance and just dealing with the day-to-day impact of the economic cycles.

Our Approach to SOX

We provide semi-custom COSObased solutions for SOX Compliance.  Semi-custom means we bring a well-developed toolkit and employ the right mix of people to apply it to your unique circumstances and needs in a cost-effective and streamlined manner. This is significantly different from the one-size-fits-all approach employed by many consulting firms.

Why choose SSF?

We collaborate with our clients to provide effective and sustainable Internal Audit and SOX Compliance solutions.

Experienced: Our team has an average of 10+ years of Internal Audit/SOX experience.

Staffing Consistency: Our team is focused on Internal Audit/SOX as a profession; we are not repurposing staff from other departments. This approach increases our ability to maintain consistent, experienced staffing with our clients. We coordinate with your external auditors to ensure their maximum reliance on our work and thus reduce your total cost of compliance.



Our First Year SOX Compliance Checklist and Guide, developed by SOX professionals, provides real-world insights into the best approach newly public companies can take to meet their critical compliance obligations. You’ll also learn the indirect benefits of effective SOX compliance, including reducing fraud risks, streamlining processes, improving management, board, and auditor communications, and more.

Contact us for a free consultation!

Internal Audit and SOX Compliance Services

Internal Audit Full Outsourcing

Many companies want the benefits of an independent Internal Audit function but lack the budget and staffing freedom to establish one.  SSF can develop and implement a comprehensive Internal Audit Outsourcing plan that fits your particular company requirements. Full Outsourcing offers more time to focus on managing the Company while we ensure your Internal Audit is rightly staffed for effectiveness and efficiency.

Internal Audit Co-Sourcing

Most small to mid-cap companies have developed some form of an internal department for ongoing compliance requirements.  However, many struggle to maintain full-time personnel with the expertise and bandwidth needed to effectively accomplish their goals.  SSF’s compliance staff is focused on the small to mid-cap sector and can provide a customized, flexible and affordable co-sourcing solution to help ensure your success.

SOX Full Outsourcing

The most effective and cost-efficient SOX Compliance implementations are comprehensively planned and started well in advance of the requirement date.  Our experienced team comes armed with proven templates and methodologies to plan and implement SOX beginning with your most critical business areas.  Our scalable process includes: Risk Assessment, Design, Document, Test, Evaluate Test Results, and providing feedback to Management. We can focus these proven steps on a single critical cycle or scale it to a full implementation.

SOX Co-Sourcing

Many companies have developed either internal or external sources to meet the demands of ongoing SOX compliance, but many struggle to maintain staffing with the expertise and bandwidth needed to effectively and efficiently accomplish the compliance goals.  SSF’s compliance staff can provide a customized, flexible and affordable co-sourcing solution to help ensure your success.


If you have already adopted effective systems and processes to manage your compliance program, we will work within your established framework. However, if you are still managing your SOX Compliance program solely in Excel and Word, our toolkit includes a high-impact database which is easily adaptable to your situation to deliver an effective and efficient solution.   


Built on the Microsoft Access platform, this tool allows you to move your risk control matrices and test tracking from Excel to a relational database that is simple to use and provides a full lifecycle record of each control and related test. Included as part of our service, this data base includes test templates and offers dynamic reporting of the key elements of your internal control structure.

Cloud-based SOX and
close optimization solutions

We are an implementation partner of BlackLine, Inc. (NASDAQ: BL). This solution can provide you complete visibility to all your SOX and Accounting Close activities, promotes optimization and provides an overall flexible, sustainable framework.  We will share our successes with this product and arrange a demo at your request.

Benefits of Choosing SSF Consulting

Internal Audit & SOX Compliance Leadership

Frank Balestreri
Frank BalestreriConsulting Partner-in-Charge
Email Frank
(925) 271-8700
Kevin Shives
Kevin ShivesConsulting Partner
Email Kevin
(408) 286-7780
Kevin Burke
Kevin BurkeInternal Audit Manager
Email Kevin
(925) 271-8700
James Taylor
James TaylorInternal Audit & SOX Manager
Email James
(925) 306-4377

Blog Insights From Our Team

Developing an Effective Internal Audit Function

Understanding your objectives, identifying organizational risk, enlisting executive support, and evaluating internal controls are among the keys to developing an effective internal audit function. Internal audit provides the company, on an ongoing basis, with [...]

What Are Internal Controls?

An organization’s internal controls are the rules, policies, and procedures specifying how various functions are carried out, as well as measures designed to verify those procedures are being performed effectively. What is the Purpose [...]

How to Improve Your Internal Audit Process

While an effective internal audit function can help an organization mitigate organizational risks, identify inefficient processes, enhance compliance, and reduce the potential for fraud, it’s important to review the process itself. Reviewing the internal [...]