Companies are regularly faced with new and evolving regulations as they strive to innovate and take intelligent business risks. Our team, with their extensive, hands-on experience in Regulatory Compliance, Internal Controls, Corporate Finance, and Operations, can help organizations manage relevant regulations and risk while maximizing stakeholder value.

Key Offerings: Our Regulatory Compliance consulting includes significant experience with:

  • SEC Regulations
  • The Foreign Corrupt Practices Act
  • The Sarbanes-Oxley Act
  • IRS Regulations
  • The Dodd Frank Act
Specific services we perform pertaining to these regulations include:
  • Overall project management and coordination
  • Orientation and training of management and process owners on regulatory requirements
  • Establishment of steering committees and coordination of work plans with external auditors, legal counsel, and tax advisors
  • Documentation of processes and key controls
  • Development and conducting of control testing
  • Reporting of results and issues to management and audit committees
  • Design and development of reporting systems
  • Creation of scalable compliance programs
  • Remediation of fines, penalties, material weaknesses and significant deficiencies
  • Initial year implementations
  • Transaction support and readiness
  • Initial Public Offering readiness
  • Quarterly and annual reporting
  • Tax provision computation and review
  • Tax compliance and reporting
Our Controls support falls into three key areas:

Internal Controls

  • Enterprise Risk Management Assessments
  • Financial Account Assessments
  • Segregation of Duties Assessments
  • Fraud Analysis

Operational Controls

  • Capital Project Management
  • Construction Contract Reviews
  • Contract Compliance
  • Cost Recovery
  • Joint Venture Operations
  • Operating Agreement Compliance

Information Technology

  • Cyber Security
  • Disaster recovery, business continuity, and emergency preparedness
  • Governance assessments

How We Engage: We engage in many ways from the assessments of various internal controls to the implementation of regulatory processes to the operation of business functions, like SOX, year-over-year for our clients.

Specific to SOX Compliance, Sirius Solutions professionals have performed over 1.5 million project hours for our clients. We use a risk-based, top-down methodology that we tailor to each client’s environment and industry. We employ experienced team members who have functioned as process owners in industry and as auditors, and we use proprietary technology tools to support the SOX compliance process. It is due to our approach, our professionals, and our tools, that our clients turn to us for this critical work.

Our controls solutions are designed to free up clients from compliance assessments and issues so that they can focus on their core business activities. Our approach is custom and responsive to each client’s business climate. Depending on the situation, clients have engaged us to assess risk, manage projects, provide interim support or they have co-sourced and outsourced entire functions to us.