USE CASES
SOX Sign-Off Decision Flow (ViewpointAI + Clarity)
Our goal: Enable structured, transparent, and compliant SOX sign-off decisions, combining human judgment with AI-powered analysis and reporting.
1. Decision Criteria (Define Sign-Off Requirements)
Purpose: Establish what the SOX sign-off needs to verify and achieve.
Human Input: Define key criteria such as:
Accuracy and completeness of financial controls
Compliance with internal policies and SOX regulations
Risk assessment and remediation of control gaps
Timely documentation and approval
Clarity’s Role: Suggests additional criteria based on historical audit patterns, industry benchmarks, and regulatory guidance.
Output: Weighted decision criteria and viewpoints forming the baseline for evaluation and sign-off.
2. Data Capture (Build the Compliance Data Room)
Purpose: Collect all relevant SOX control and financial documentation.
Human Input: Internal control testing results, financial statements, audit logs, exception reports, and supporting documentation.
Clarity’s Role: Extracts and standardizes data from multiple sources, identifies missing or inconsistent items, flags risks, and integrates historical control performance.
Output: Centralized, AI-enhanced compliance data room ready for evaluation and review.
3. Decision Making (Evaluate & Confirm Controls)
Purpose: Assess whether controls meet SOX compliance requirements.
Human Input: Review control evidence, remediation actions, and operational context.
Clarity’s Role: Scores control effectiveness, highlights gaps, flags high-risk items, and models the impact of potential deficiencies.
Output: Ranked assessment of controls, with clear recommendations for approval, remediation, or further review.
4. Decision Reporting (Transparency & Verification)
Purpose: Document the reasoning and approvals for the SOX sign-off.
Human Input: Approve final sign-off, provide commentary or context for auditors and leadership.
Clarity’s Role: Automatically generates a report showing criteria applied, scoring, evidence reviewed, risk assessments, and rationale for decisions.
Output: Transparent, auditable SOX sign-off report suitable for internal audit, external audit, and governance review.
Core Capabilities Throughout
Human: Judgment, operational context, regulatory expertise
AI (Clarity): Data extraction, scoring, ranking, risk modeling, gap identification
Collaboration: Multiple stakeholders (finance, compliance, audit) can review and provide input
Analysis: Identify trends, recurring control gaps, and risk patterns
Reporting: Automated documentation ensures transparency, accountability, and regulatory compliance
Clarity’s role: Acts as an AI co-pilot throughout the SOX sign-off process — guiding criteria definition, analyzing controls, highlighting gaps, and generating transparent reports — while humans make the final compliance decisions
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