SOX Compliance Readiness Dashboard

Your auditors are coming.
Do you know where your evidence is?

Most finance teams find out they're not ready when fieldwork has already started. This Excel toolkit gives you the structure to get ready before they show up.

✓ Built by a decade inside finance operations✓ Download and start tracking in under 5 minutes✓ No formulas to build. No formatting to do.

What's included

Everything a finance team needs to track SOX readiness from first fieldwork notice to audit close.

Control Library

24 sample controls across IT General Controls, Financial Reporting, Entity Level, Financial Close, Payroll, and Treasury. Each control has a status dropdown, evidence link column, last tested date, and notes.

Audit Readiness Dashboard

Real-time % complete by control category. Green when you're ready, red when you're not. One tab that tells you exactly where to focus.

PBC Tracker

When your auditors send their Prepared By Client request list, paste it here. Assign items, set due dates, track status from Pending → Submitted → Accepted.

Exceptions Log

Log control failures immediately with a remediation plan and target resolution date. Auditors expect exceptions — this is how you show them you're on top of it.

Built for

Controllers and accounting managers going through SOX for the first time
Finance teams preparing for an IPO or acquisition requiring SOX readiness
Fintech companies under SOC or regulatory audit with overlapping control requirements
Internal audit teams who need a lightweight tracker for a specific audit cycle

How it works

01Purchase and download the .xlsx file — no account or login required
02Open in Excel (2016 or later). Review the sample controls, add your own, assign owners
03Update status as you gather evidence. Share with your team and track progress to 100%
04Walk into audit fieldwork with a complete control inventory and all evidence documented

Your auditors are coming.Do you know where your evidence is?