SOX Compliance

Overview

The SOX Compliance Checker is an enterprise-grade assessment platform designed to evaluate organizational compliance with Sarbanes-Oxley (SOX) requirements. Built for financial institutions, public companies, and their service providers, this tool provides comprehensive compliance evaluation across multiple control sections and assessment tiers.

This platform enables security and compliance teams to systematically assess their SOX control environment, document compliance status across various domains, and generate actionable insights for remediation. The multi-tier assessment approach (basic, standard, enterprise) allows organizations to scale their compliance evaluation from initial scoping through detailed enterprise-wide assessments.

Ideal users include Chief Compliance Officers, Internal Audit teams, IT Security professionals, and managed service providers supporting SOX-regulated organizations who need standardized, repeatable compliance assessment capabilities integrated into their operational workflows.

Usage

Sample Request

{
  "tier": "standard",
  "sessionId": "sess_20250117_audit_001",
  "controls": {
    "financial_reporting": [
      {
        "controlId": "FR-001",
        "compliant": true,
        "notes": "Monthly reconciliation process documented and tested"
      },
      {
        "controlId": "FR-002",
        "compliant": false,
        "notes": "Missing evidence of Q3 review sign-off"
      }
    ],
    "it_general_controls": [
      {
        "controlId": "IT-101",
        "compliant": true,
        "notes": "Access reviews performed quarterly"
      },
      {
        "controlId": "IT-102",
        "compliant": true
      }
    ]
  }
}

Sample Response

{
  "assessmentId": "assess_20250117_001",
  "sessionId": "sess_20250117_audit_001",
  "tier": "standard",
  "timestamp": "2025-01-17T14:32:18Z",
  "overallCompliance": 75,
  "sectionResults": {
    "financial_reporting": {
      "compliant": 1,
      "total": 2,
      "compliancePercentage": 50,
      "findings": [
        {
          "controlId": "FR-002",
          "status": "non_compliant",
          "severity": "medium",
          "recommendation": "Obtain missing review evidence for Q3 period"
        }
      ]
    },
    "it_general_controls": {
      "compliant": 2,
      "total": 2,
      "compliancePercentage": 100
    }
  },
  "remediationActions": [
    {
      "priority": "high",
      "action": "Collect and document FR-002 review sign-off",
      "dueDate": "2025-02-14"
    }
  ]
}

Endpoints

GET /health

Description: Health check endpoint to verify service availability.

Method: GET

Path: /health

Parameters: None

Response:

POST /api/sox/assess

Description: Perform comprehensive SOX compliance assessment across multiple control domains and sections.

Method: POST

Path: /api/sox/assess

Request Body:

| Parameter | Type | Required | Description | |-----------|------|----------|-------------| | tier | string | Yes | Assessment tier level: basic, standard, or enterprise | | sessionId | string | Yes | Unique session identifier for tracking and audit trail purposes | | controls | object | Yes | Controls organized by section; each section contains an array of ControlInput objects |

ControlInput Schema:

| Parameter | Type | Required | Description | |-----------|------|----------|-------------| | controlId | string | Yes | Unique identifier for the control (e.g., "FR-001", "IT-101") | | compliant | boolean | Yes | Compliance status of the control: true if compliant, false if non-compliant | | notes | string | No | Optional notes or evidence supporting the compliance determination |

Response:

Error Response (422 Validation Error):

OPTIONS /api/sox/assess

Description: Handle CORS preflight requests for cross-origin assessment submissions.

Method: OPTIONS

Path: /api/sox/assess

Parameters: None

Response:

Pricing

| Plan | Calls/Day | Calls/Month | Price | |------|-----------|-------------|-------| | Free | 5 | 50 | Free | | Developer | 20 | 500 | $39/mo | | Professional | 200 | 5,000 | $99/mo | | Enterprise | 100,000 | 1,000,000 | $299/mo |

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References

Sample Request

{
  "tier": "standard",
  "sessionId": "sess_20250117_audit_001",
  "controls": {
    "financial_reporting": [
      {
        "controlId": "FR-001",
        "compliant": true,
        "notes": "Monthly reconciliation process documented and tested"
      },
      {
        "controlId": "FR-002",
        "compliant": false,
        "notes": "Missing evidence of Q3 review sign-off"
      }
    ],
    "it_general_controls": [
      {
        "controlId": "IT-101",
        "compliant": true,
        "notes": "Access reviews performed quarterly"
      },
      {
        "controlId": "IT-102",
        "compliant": true
      }
    ]
  }
}

Sample Response

{
  "assessmentId": "assess_20250117_001",
  "sessionId": "sess_20250117_audit_001",
  "tier": "standard",
  "timestamp": "2025-01-17T14:32:18Z",
  "overallCompliance": 75,
  "sectionResults": {
    "financial_reporting": {
      "compliant": 1,
      "total": 2,
      "compliancePercentage": 50,
      "findings": [
        {
          "controlId": "FR-002",
          "status": "non_compliant",
          "severity": "medium",
          "recommendation": "Obtain missing review evidence for Q3 period"
        }
      ]
    },
    "it_general_controls": {
      "compliant": 2,
      "total": 2,
      "compliancePercentage": 100
    }
  },
  "remediationActions": [
    {
      "priority": "high",
      "action": "Collect and document FR-002 review sign-off",
      "dueDate": "2025-02-14"
    }
  ]
}