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Financial Services

Financial Services
Sarbanes-Oxley

Regulatory Alignment

Highly regulated financial services organizations may find it challenging to align their internal audit, risk and technology divisions. iMC recognizes these departmental drivers and can assist financial organizations with bridging the gaps while creating internal synergies.

Case Study

At the request of the Board of Directors of a federal government sponsored bank, iMC team members were asked to perform a review of a dozen technology incidents and assess their SOX impact. The audit, risk and technology divisions seemed to be at an impasse.

The outcome of the review provided key leaders with the clarity needed to move forward and the understanding that SOX controls had not been violated. Additionally, two primary process improvements were identified to mitigate future circumstances from triggering similar events.

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