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SOX & FDICIA Compliance

Independent internal control testing and compliance support aligned with regulatory expectations, governance standards, and financial reporting integrity.
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Independent Testing Aligned With External Auditors

Trusted by institutions that require rigor without disruption.

What We Do

Organizations face increasing expectations around internal controls, financial reporting integrity, and governance oversight. Whether driven by regulatory requirements, growth, external auditors, or strategic objectives, institutions need independent assurance that controls are designed and operating effectively.

AuditOne provides structured, efficient SOX and FDICIA support tailored to financial institutions and fintech environments.

SOX & FDICIA

SOX vs FDICIA

Sarbanes-Oxley (SOX)

  • Internal control documentation (ICFR)

  • Control design assessments

  • SOX readiness and gap analysis

  • Control testing (design & operating effectiveness)

  • Deficiency evaluation support

  • Management reporting

  • Coordination with external auditors

  • IPO or transaction readiness

 FDICIA (FDIC Improvement Act)

  • Internal control framework implementation

  • Annual FDICIA compliance testing

  • Risk assessments and scoping

  • Process and control documentation

  • Independent testing support

  • Management assertions preparation

  • Audit committee reporting

  • Remediation validation

When Institutions Engage AuditOne

  • Preparing for IPO or public reporting

  • Crossing regulatory thresholds

  • External auditor recommendations

  • Internal control weaknesses identified

  • Rapid growth or operational complexity

  • Mergers, acquisitions, or capital events

How We Work

  1. Assess & Scope
    Risk-based scoping aligned with regulatory expectations.

  2. Document & Design
    Clear process mapping and control documentation.

  3. Test & Evaluate
    Independent testing with practical insights.

  4. Report & Improve
    Actionable reporting for management and governance.

Who AuditOne serves in the Sponsor bank and baas ecosystem
What sets AuditOne apart from the rest of internal audit firms

Why Financial Institutions Choose AuditOne

  • Financial institution specialization

  • Regulatory-aware methodologies

  • Coordination with external auditors

  • Efficient, low-disruption approach

  • Experienced control and risk professionals

  • Scalable support for growth stages

SOX-Aligned Rigor, Even When Not Required

Many private institutions adopt SOX-style control frameworks to strengthen governance, improve regulatory readiness, and prepare for growth or capital events. AuditOne helps organizations implement right-sized frameworks aligned with their risk profile and maturity.

Internal Audit

Risk & Compliance

Technology & Cyber Risk

Fintech & Third Party Risk

Why Financial Institutions Trust AuditOne for Independent Assurance

For more than 20 years, the underlying DNA of AuditOne is simple: translate complex regulations into clear, actionable assurance so financial institutions can operate with confidence.

  • Deep specialization in regulated financial institutions
  • Teams aligned to regulatory expectations
  • Integrated domain expertise across risk functions
  • Clear communication and board-ready reporting
  • Storing project management and coordination
  • Flexible engagement models
  • Nationwide coverage
AuditOne client offices
Why AuditOne
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