SOX IT General Controls

Overview

SOX IT General Controls (SOX ITGC) — IT general controls supporting financial reporting integrity. ComplAI maps this framework’s controls so your team can track implementation, evidence, and audit readiness.

10 controls available in ComplAI for this framework.

Who it's for

• Organizations that must demonstrate SOX ITGC compliance
• Security and compliance teams operating in United States
• Customers and partners that require SOX ITGC assurance

Why it matters

SOX ITGC is a recognized financial framework. Activating it in ComplAI lets you manage controls, evidence, and readiness in one place.

How ComplAI helps

• Activate SOX ITGC in the Framework Library to load its control catalog
• Assign owners, track compliance status, and attach evidence per control
• Use risk register and issues workflows when controls fail or deviate
• Export readiness views for leadership and auditors

Sample controls

• ITGC-AC-1

  Logical access provisioning

  access control

• ITGC-AC-2

  Access recertification

  access control

• ITGC-AC-3

  Privileged access

  access control

• ITGC-CM-1

  Change management

  change management

• ITGC-CM-2

  Emergency changes

  change management

• ITGC-CM-3

  Segregation of development and production

  change management

Getting started

1. Open Framework Library and activate SOX ITGC
2. Review the control list and prioritize high-impact domains
3. Attach policies, procedures, and technical evidence
4. Mark controls audit-ready and monitor residual gaps