Free SOX Compliance Checklist
Evaluate your SOX compliance posture in minutes
Answer eight questions about your organization's internal controls over financial reporting and get a compliance score, gap analysis, and prioritized remediation plan. Covers key SOX requirements including IT general controls, access controls, change management, segregation of duties, and audit trail maintenance.
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How it works
How SOX Compliance Checklist works
Answer 8 questions
Complete a short questionnaire covering key SOX requirements: internal controls, IT general controls, financial system access, change management, segregation of duties, audit trails, risk assessment, and management certification.
Get your compliance score
Your answers are scored against SOX Sections 302 and 404 requirements to produce an overall compliance percentage and per-area breakdown.
Receive a remediation plan
Get a personalized gap analysis with a prioritized 90-day action plan covering specific remediation steps to strengthen your internal controls framework.
Features
What SOX Compliance Checklist checks
Covers Sections 302 and 404 requirements
Evaluates your organization against the two most critical SOX sections: Section 302 (management certification of financial reports) and Section 404 (internal controls assessment) — the sections that drive most compliance effort and audit scrutiny.
Assess IT general controls and access management
Checks whether you have comprehensive IT general controls, enforce role-based access to financial systems, and maintain proper segregation of duties — the most common areas where IT audits find deficiencies.
Evaluate change management and audit trails
Reviews whether you have formal change management processes and maintain tamper-evident audit trails for financial transactions — critical for demonstrating control effectiveness to external auditors.
Get a prioritized compliance roadmap
Generates a concrete, prioritized action plan with specific remediation tasks, estimated timelines, and resource requirements to strengthen your internal controls before the next audit cycle.
Use cases
Who should use the free SOX Compliance Checklist
CFOs and Controllers
Assess your organization's SOX compliance posture and identify gaps in internal controls over financial reporting. Prioritize remediation before the next audit cycle.
IT Audit Managers
Evaluate IT general controls supporting financial reporting systems. Identify deficiencies in access controls, change management, and segregation of duties before external auditors do.
Compliance Officers
Get a baseline compliance score and gap analysis to present to the audit committee. Track progress as controls are implemented and tested throughout the year.
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Frequently asked questions
Everything you need to know about the free SOX Compliance Checklist.
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