The SOX IT Controls & Compliance training is a focused two-day program designed to help participants understand the IT control requirements of the Sarbanes–Oxley (SOX) Act and how organizations design, implement, test, and maintain effective IT controls to support financial reporting integrity. This course explains IT General Controls (ITGCs), application controls, governance expectations, and audit readiness, enabling learners to support SOX compliance initiatives confidently and effectively.

• Understand the principles, regulatory requirements, and compliance framework of Sarbanes–Oxley Act (SOX) for IT controls and  governance.
• Identify IT general controls, application controls, governance responsibilities, and compliance obligations effectively.
• Apply risk assessment, control design, documentation, testing, and remediation practices for SOX compliance.
• Implement access management, change management, backup controls, audit trails, and security monitoring processes.
• Monitor control effectiveness, audit findings, regulatory reporting, and continuous improvement opportunities.
• Build compliant, audit-ready, and governance-driven IT control frameworks using SOX best practices.

 • IT auditors and assurance professionals
 • IT governance, risk, and compliance professionals
 • IT managers and system administrators
 • Internal audit and finance control teams
 • Professionals involved in SOX compliance and audits

 • Basic understanding of IT systems and business processes
 • Familiarity with internal controls or audit concepts is beneficial
 • Awareness of risk, compliance, or financial reporting concepts is helpful

 • Understanding SOX requirements related to IT controls
 • Knowledge of IT General Controls and application controls
 • Ability to support IT control design and documentation
 • Awareness of IT control testing and audit processes
 • Capability to contribute to SOX audit readiness and compliance

By the end of this training, participants will have a clear understanding of SOX IT control requirements and how they support reliable financial reporting. Learners will be able to identify and document IT controls, support testing and remediation activities, and contribute effectively to SOX compliance and audit readiness initiatives.

Introduction to SOX and IT Compliance
 • Overview of the Sarbanes–Oxley Act
 • Purpose and scope of SOX compliance
 • Role of IT in financial reporting
 • Relationship between business and IT controls

SOX Control Framework and Governance
 • Internal control concepts and objectives
 • Management responsibility and accountability
 • Role of internal audit and external auditors
 • Governance and oversight expectations

IT General Controls (ITGCs) Overview
 • Access controls and user management
 • Change management controls
 • IT operations and job scheduling
 • Backup, recovery, and system availability controls

ITGC Documentation and Design Effectiveness
 • Control design principles
 • Documenting IT controls and procedures
 • Control ownership and evidence requirements
 • Assessing design effectiveness

Application Controls and Financial Systems
 • Automated and manual application controls
 • Input, processing, and output controls
 • Interfaces and data integrity controls
 • Role of application controls in SOX

IT Control Testing and Audit Evidence
 • Testing strategies for IT controls
 • Walkthroughs and sampling concepts
 • Evidence collection and evaluation
 • Managing control deficiencies

Deficiencies, Remediation, and Audit Readiness
 • Control deficiencies and classifications
 • Remediation planning and execution
 • Management assertions and sign-offs
 • Preparing for SOX audits and reviews

SOX IT Compliance Capstone Workshop and Best Practices
 • Analyzing a SOX IT control scenario
 • Identifying key IT controls and risks
 • Evaluating testing results and gaps
 • Final review and SOX compliance best practices

• SOX Fundamentals & IT Control Framework
• IT General Controls, Application Controls & Risk Assessment
• Access Management, Change Management & Audit Trail Implementation
• Control Testing, Compliance Reporting & Remediation
• End-to-End SOX Compliance Implementation Project

Participants will be evaluated through scenario-based discussions, control analysis exercises, and interactive workshops conducted during the training. The evaluation focuses on understanding SOX IT control concepts, correct identification of ITGCs and application controls, and the ability to apply compliance practices to real-world audit scenarios

Participants will receive course materials, slides, reference materials, exercises and access to resources for further learning.

Upon successful completion of the training, participants will receive the AcadNXT Certification for SOX IT Controls & Compliance. This certification validates the learner’s foundational knowledge of SOX requirements, IT controls, audit processes, and compliance practices supporting financial reporting integrity.