Internal Audit, Banking and SOX

Stay Competitive, Informed, Connected, and Compliant.

Our Internal Audit Risk and Compliance Consulting services are designed to help enhance the efficiency and effectiveness of internal audit functions and the IT Environment. Our team works with organizations to optimize their enterprise risk management programs, internal controls, review third-party relationships, and comply with regulations and governance, and sustainability initiatives.

BSA and Asset Based Lending

To secure an asset-based loan, organizations must come to the table with financial information that is detailed and accurate. Our team can help yours make lenders feel comfortable with a credible case for long-term viability, as well as professionally-prepared financial statements that prove you have a handle on the business.

Internal Audit Projects

Internal auditing is an independent, objective assurance and consulting activity designed to add value and improve your organization’s operations. A detailed audit can help your business to accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. The process provides crucial insights that improve the experience for all stakeholders. 

Compliance

Governance and Risk Assessments

Organizations need to leverage a prescriptive, repeatable, and mathematical approach to risk management. Using such an approach to quantify and mitigate risk demonstrates intentional corporate action to deal responsibly with risk, which can soften the hard edge of legal and regulatory action. Our department is equipped with professionals dedicated to delivering effective solutions to best suit your company’s needs while reducing risk and improving security by helping develop Risk Assessments for all operational and financial areas, including Information Security/Cyber Security.

Development of Policies and Procedures

Policy and procedure documentation drives organizational performance. Well-defined Policies and Procedures provide a basis for an organization to analyze and evaluate effectiveness across many complex topics and routinely provide guidance for senior management and line staff.  Our team can assist in developing and implementing policies and procedures that accomplish the alignment of the key management process to strategic objectives for your most important Operational and Financial areas. By providing invaluable step-by-step protocol and instructions, your team will be equipped with a clear roadmap to success. P&P Guidelines are also used by internal and external auditors to determine the effectiveness of business controls and overall business practices.

Sarbanes Oxley (SOX)

We are also a qualified firm with expertise in the Sarbanes-Oxley Act of 2002 (SOX) compliance testing and project management background to perform compliance testing services (in accordance with SOX Section 404).

 

Our team has completed assessments and testing at financial institutions over the following business cycles:

  • Entity Level
  • Financial Reporting
  • Information Technology
  • Accounts Payable
  • Commercial Lending
  • Consumer Lending
  • Controllership
  • Deposits
  • Mortgage Lending
  • Mortgage Servicing
  • Payroll

Team Certifications

Our team is composed of highly qualified professionals with the following certifications:

  • CPA
  • CIA
  • CISA
  • CRISC
  • CISSP

We provide in-depth consulting to a variety of clients (across multiple industries) in Puerto Rico, Panama, Aruba, and Curacao. We can also serve clients in Florida, New York, Dominican Republic, and all other Caribbean Islands.

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Specialized Industries

Our firm has worked with partners across many industries and of all shapes and sizes. From small private companies to government agencies, to massive healthcare and consumer companies, to nonprofit and everything in between. See our list of industry specialties to learn more.

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Meet Our Team

Meet our firm’s leadership and the amazing talents that make our firm one of the most prominent accounting and consulting firms in Puerto Rico. Our highly qualified partners holds over a century of combined professional experience, which firmly supports our proven record of success.

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Explore Careers With Us

Looking to further your career at a place of excellent reputation and with an amazing culture? Join our team of top-notch professionals in the field of accounting, audit, tax, management consulting and more, and learn how our multidisciplinary approach makes us such a strong industry leader.

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