CLIENT SUCCESSES

Our client designs, markets and administers fixed annuity products on behalf of certain unaffiliated insurance carriers for the domestic annuities market. We were engaged as their outsourced internal audit function. Our responsibilities included the design and implementation of their SOX compliance process, internal auditing programs and controls. Our services covered the areas of business processes, IT and entity level risk assessments.

One of the world's oldest and most experienced private equity firms engaged us to design and implement their SOX compliance framework. We assisted in determining the key processes with respect to financial reporting and industry regulations. Then we further assisted in the preparation of internal control documentation, evaluation of current processes and testing of key processes and associated controls. During the evaluation and documentation activities for several geographic locations, efficiency and cost savings improvements were recommended. Key deliverables included: entity level control analysis, internal control matrix and documentation, project-level gap analysis and final Sarbanes control memo.