SOX Compliance Checklist for Product Teams
SOX compliance affects product teams at public companies or companies preparing for IPO. Features touching financial data must be built with SOX in mind.
This checklist covers product-level SOX requirements for features involving financial data, revenue recognition, or internal controls.
Template sections
4 sections covering the complete compliance workflow.
Financial Data Integrity
Calculations must be accurate and auditable. Data must not be modifiable without an audit trail. Reports must reconcile with the source of truth.
Access Controls
Implement segregation of duties: the person who initiates a financial transaction should not approve it. Document role-based access and log changes.
Audit Trail
Every change to financial data needs an immutable audit trail: who, what, when. Logs must be tamper-proof and retained for 7 years.
Change Management
Changes affecting financial reporting require documented approval, testing in a separate environment, and sign-off before production deployment.
Copy-paste template
# SOX Checklist — [Feature] ## Data Integrity - [ ] Calculations auditable - [ ] No modification without audit trail - [ ] Reports reconcile with source ## Access Controls - [ ] Segregation of duties - [ ] Role-based access documented - [ ] Access changes logged ## Audit Trail - [ ] All changes logged (who, what, when) - [ ] Logs immutable - [ ] 7-year retention ## Change Management - [ ] Approval documented - [ ] Non-production testing - [ ] Sign-off before deploy
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