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Sarbanes-Oxley (SOX) Identifying and Documenting Controls

This course explores how identifying and documenting controls for Sarbanes-Oxley.
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502 students
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Platform: Udemy
Video: 1h 32m
Language: English
Next start: On Demand

Table of contents


This course explores how identifying and documenting controls for Sarbanes-Oxley (SOX) is key to enabling the evaluation of process design. It will also ensure testing processes can be effectively executed.  Assessors must have a strong understanding of the types and methods of internal controls. Documentation methods must meet organizational needs.
To identify controls, you must understand the concept of internal control. Internal control is a process designed to provide reasonable assurance regarding the achievement of objectives in the following areas: effectiveness/efficiency of operations; reliability of financial reporting; compliance with applicable laws/regulations; and safeguarding assets. You must also understand the types of control and the various methods of documentation.
If you would like Continuing Education Credit (e.g. CPE, CE, CPD, etc.) for this course, it is available if you take this course on the Illumeo dot com platform under course title: Sarbanes-Oxley (SOX) Identifying and Documenting Controls. Illumeo is certified to provide CPE in over two dozen different professional certifications covering finance, accounting, treasury, internal audit, HR, and more. However, in order to receive CPE credit the courses must be taken on an ‘approved-by-the-governing-body’ CPE platform, and for over two dozen corporate professional certifications, that is the Illumeo platform. Go to Illumeo dot com to learn more.

You will learn

✓ Explore the types and methods of internal controls.
✓ Identify controls related to Initiation, Authorization, Processing and Recording.
✓ Identify the various methods of documentation, and recognize the differences between control narratives vs. control flowcharts.
✓ Explore how to update and maintain documentation.


• No advanced preparation or prerequisites are needed for this course, but completion of the instructor’s previous webinars on Sarbanes-Oxley (SOX) may be helpful.

This course is for

• Anyone interested in accounting, risk management, finance, or related fields.
Condensed and Efficient Courses for Busy Professionals
Illumeo, incorporated in 2009, is revolutionizing the hide-bound world of corporate learning. Illumeo works with corporate professionals and organizations of all sizes to build the skills and capabilities that help everyone be an expert at their job.
Based in Silicon Valley, CA, Illumeo serves thousands of corporations and corporate professionals across Finance, Accounting, Human Resources, Sales and Marketing. The platform offers assessments, industry-benchmarked competency analyses, hundreds of expert-developed courses, collaborative tools, and the ability for companies to self-publish internal courses that promote institutional knowledge retention and dissemination.
Illumeo is the place for expertise management and we are dedicated to the proposition that everyone can be an expert at their job.
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Platform: Udemy
Video: 1h 32m
Language: English
Next start: On Demand

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