AI SOX Compliance Audit Report Generation Agent
Automating SOX Compliance Audit Report Generation with AI
Streamline Risk Assessment and Control Mapping
The agent automatically maps financial statement line items to business processes, identifies significant accounts and assertions, and generates Risk & Control Matrices (RCMs) aligned to COSO framework requirements—eliminating weeks of manual documentation.
Orchestrate Evidence Collection Across Systems
AI automation connects to your ERP, MES, ITSM, and IAM systems to collect, time-stamp, and organize audit evidence—from access recertifications and change tickets to JE approvals and account reconciliations—without chasing down plant managers or IT teams.
Generate Audit-Ready Workpapers with Built-In Rigor
Automated workflows assemble test sheets with attributes, samples, procedures, and conclusions while validating IPE/IUC completeness and accuracy, producing deficiency logs with severity assessments, and packaging everything for external auditor review.
How Cassidy automates FNOL Claims Intake using AI
Step 1: Connect to your manufacturing systems
Cassidy integrates with your ERP (SAP, Oracle, Dynamics), MES, ServiceNow, identity management, and document repositories to ingest control libraries, RCMs, policies, and SoD matrices into a unified Knowledge Base.
Step 2: Scope and map controls automatically
The Workflow analyzes your financial statement line items and applies top-down risk heuristics to propose significant accounts, relevant assertions, and in-scope locations based on materiality thresholds—then aligns ELCs, ITGCs, and automated application controls to identified risks.
Step 3: Generate PBC lists and route evidence requests
Cassidy creates Prepared By Client lists by cycle and control, then automatically routes collection tasks to process owners with secure upload links, tracking status across inventory, P2P, O2C, and R2R cycles.
Step 4: Validate ITGCs and flag exceptions
The agent parses access recertification exports, user listings, change tickets, and migration logs to validate approvals, identify SoD conflicts, and flag privileged access issues—documenting mitigating controls where they exist.
Step 5: Test IPE/IUC completeness and accuracy
Cassidy validates key report parameters against systems of record, reconciles counts and totals, captures report definition screenshots, and stores query versions to prove C&A for every spreadsheet and query used in controls.
Step 6: Assemble PCAOB-ready workpapers
The Workflow auto-generates test sheets with control objectives, populations, sampling methods, evidence cross-references, and conclusions—labeling by Design vs. Operating Effectiveness and including roll-forward or benchmarking rationale.
Step 7: Evaluate deficiencies and produce reporting packages
Cassidy classifies exceptions by likelihood and magnitude, applies aggregation logic, documents compensating controls, and generates remediation plans with owners and target dates—plus audit committee decks and external auditor PBC submissions ready for 302/404 certification support.
Implement it inside your company
- Hands-on onboarding and support
- Self-paced training for your team
- Dedicated implementation experts
- Ongoing use case discovery
- ROI tracking & analytics dashboards
- Proven playbooks to get started fast
