majiayu000 SOX Compliance Audit
Generate professional SOX compliance audit reports with evidence packages.
Creates both PDF audit reports (for management) and Excel evidence workbooks (for audit trail).
Arguments
| Argument | Description | Default |
|---|---|---|
--year <YYYY> |
REQUIRED Calendar year | — |
--quarter <Q#> |
REQUIRED Quarter: Q1, Q2, Q3, Q4 | — |
--output-pdf <file> |
PDF output path | tmp/Audit_Report_YYYY_QX_DATE.pdf |
--output-xlsx <file> |
Excel evidence path | tmp/Audit_Evidence_YYYY_QX_DATE.xlsx |
Control Testing
Performs comprehensive audit of key financial controls:
- Data Completeness: All expected periods present
- Data Integrity: No duplicate transactions
- Access Control: Authorized user access only
- Change Management: All changes documented
- Reconciliation: P&L vs KPI alignment
Datarails Brand Styling
When generating Excel or PowerPoint files, apply Datarails brand styling:
Font: Poppins (fall back to Calibri if unavailable). Weights: 400 regular, 600 semibold, 700 bold.
Colors:
| Role | Hex | Use |
|---|---|---|
| Navy | 0C142B |
Header/banner background |
| Main text | 333333 |
Primary text |
| Secondary | 6D6E6F |
Muted/subtitle text |
| Border | 9EA1AA |
Cell borders |
| Section bg | F2F2FB |
Section header / row header background (lavender) |
| Input bg | EAEAFF |
Editable/input cell background |
| Input text | 4646CE |
Editable cell text (indigo) |
| Favorable | 2ECC71 |
Positive variance / good KPI delta |
| Unfavorable | E74C3C |
Negative variance / bad KPI delta |
| Chart 1 | 0C142B |
Actuals (navy) |
| Chart 2 | F93576 |
Budget (hot pink) |
| Chart 3 | 00B4D8 |
Teal |
| Chart 4 | FFA30F |
Amber |
Excel layout:
- Content starts at column B (column A is a narrow gutter)
- Rows 1-6: header banner with navy background, white title text, white subtitle
- Gridlines OFF. Freeze panes at B7.
- Footer as last row with generation date
- Every cell must have font, fill, alignment, and number format set
Number formats: _(* #,##0_);_(* (#,##0);_(* "-"_);_(@_) (default), $#,##0 (dollars), $#,##0.0,,"M" (millions), 0.0% (percent)
Variance coloring: Any cell showing a delta/change: green (2ECC71) if favorable, red (E74C3C) if unfavorable. Apply automatically based on value sign and metric context.
PowerPoint: Navy (0C142B) background, 16:9 widescreen, Poppins font, white text, amber (FFA30F) accent lines, card backgrounds 001F37.
Output
PDF Audit Report
- Executive summary
- Control test results
- Exception findings
- Recommendations
- Management response section
- Control descriptions (appendix)
Excel Evidence Package
- Control summary with status
- Detailed test results
- Exception log (if any)
- Supporting schedules
- Audit trail documentation
Examples
Q4 2025 Annual Audit
/dr-audit --year 2025 --quarter Q4
Mid-year audit
/dr-audit --year 2025 --quarter Q2
Custom output locations
/dr-audit --year 2025 --quarter Q4 \
--output-pdf audits/audit_q4_2025.pdf \
--output-xlsx audits/evidence_q4_2025.xlsx
Use Cases
Annual SOX Audit
# Run comprehensive audit for year-end
/dr-audit --year 2025 --quarter Q4
Quarterly Board Review
# Regular compliance check
/dr-audit --year 2025 --quarter Q3
Management Certification
# Support management's SOX 404 certification
/dr-audit --year 2025 --quarter Q4
External Auditor Support
# Provide auditors with report and evidence
/dr-audit --year 2025 --quarter Q4
Performance
- Audit execution: ~1-2 minutes
- Comprehensive control testing
- Professional report generation
- Complete evidence package
Control Framework
Based on COSO framework for financial reporting:
- Control Environment: Access controls, segregation
- Risk Assessment: Data quality, system integrity
- Control Activities: Reconciliation, validation
- Information & Communication: Documentation, trails
- Monitoring: Regular compliance checks
Report Contents
Executive Summary
- Audit scope and period
- Control test summary
- Overall assessment
- Key findings
Detailed Findings
- Exceptions identified
- Severity assessment
- Management response area
Control Descriptions
- Each control's objective
- Test performed
- Evidence collected
- Status conclusion
Management Response
- Area for management to address findings
- Remediation timeline
- Owner assignment
Evidence Package
Control Testing Sheet
- Control ID and name
- Objective tested
- Result (pass/fail)
- Evidence gathered
Exception Log
- Finding description
- Severity level
- Supporting evidence
- Recommended action
Supporting Schedules
- Transaction samples
- Reconciliation details
- System logs
- Access reports
Recommendations
Professional audit recommendations:
- Continue monthly reconciliation procedures
- Perform quarterly access reviews
- Maintain data change documentation
- Execute annual comprehensive audit
Integration
Works with:
/dr-anomalies-report- Data quality validation/dr-reconcile- Consistency checking/dr-extract- Data extraction/dr-dashboard- Control monitoring
Related Skills
/dr-reconcile- Ongoing reconciliation/dr-anomalies-report- Data quality/dr-extract- Data sourcing/dr-dashboard- KPI monitoring